Management’s Discussion and Analysis | SECTION ONE 1

PERFORMANCE &

ACCOUNTABILITY REPORT

Architect of the Capitol • Fiscal Year 2021

SERVE | PRESERVE | INSPIRE
THE AOC ON MOBILE DEVICES

An e-reader mobile version of this Performance and Accountability Report will be available 

(for tablets only) in the Apple iTunes Store and the Android Google Play store.

The AOC mobile apps provide information about the agency and the Capitol campus for staff, visitors and 

the American public. The apps include:

 State Statues in the Capitol

 U.S. Capitol Grounds

 U.S. Capitol Rotunda

 U.S. Capitol Visitor Guide

Websites and Media Platforms

Visit the Architect of the Capitol at www.aoc.gov

@ArchitectoftheCapitol @uscapitol

@uscapitol @uscapitol

@uscapitol @aochiring

@architect-of-the-capitol @uscapitol

The Architect of the Capitol (AOC) maintains a social media presence on: 

A full directory of the AOC’s official social media accounts is available at www.aoc.gov/social-media-directory.

RELATED WEBSITES

U.S. Botanic Garden: www.usbg.gov

U.S. Capitol Visitor Center: www.visitthecapitol.gov

THOLOS MAGAZINE

Tholos, the AOC’s quarterly digital employee magazine, provides stories that 

communicate the AOC’s mission to serve, preserve and inspire. The magazine is 

available at: www.aoc.gov/what-we-do/publications/tholos-magazine. 
FISCAL YEAR 2021

Performance and Accountability Highlights 

About the Architect of the Capitol 

Who We Are: The Architect of the Capitol (AOC) is responsible for the 

care and operation of the Capitol campus, which includes more than 

18.4 million square feet of facilities, more than 570 acres of grounds 

and thousands of works of art. The AOC’s employees work behind 

the scenes day and night to provide Congress and the Supreme 

Court with facilities and infrastructure to conduct their business. 

We inspire the public by providing tours, online programming and 

exhibits of the U.S. Capitol, the surrounding grounds and the U.S. 

Botanic Garden.

Established: The AOC traces its beginnings to 1793 and was formally 

established by congressional legislation in 1876

Branch of Government: Legislative

Leadership: J. Brett Blanton, Architect of the Capitol

Number of Permanent Employees: 2,249 as of September 30, 2021

FY 2021 Budget Authority: $1.008 billion (including $321.9 million 

in emergency security supplemental funding)

Mission: Serve Congress and the Supreme Court, preserve America’s 

Capitol and inspire memorable experiences

DID YOU KNOW?

The AOC serves as steward for the U.S. Capitol 

Building, the U.S. Capitol Visitor Center, the House 

and Senate office buildings, the Library of Congress 

buildings, the Supreme Court of the United States, 

the U.S. Botanic Garden, the Capitol Power Plant 

and other surrounding grounds and facilities. The 

major facilities on the Capitol campus that fall 

under the AOC’s care are depicted in Figure 1. 

A virtual tour of the Capitol campus is available at: 

www.capitol.gov.

To learn more about the AOC, watch our video, “We Are AOC”: 

www.aoc.gov/about-us/who-we-are.

FIGURE 1

Map of the U.S. Capitol Campus

Performance and Accountability Highlights i
ii ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Performance Results in Brief 

In Fiscal Year (FY) 2021, the AOC tracked progress toward four 

strategic goals:

1. Maintain Awe-Inspiring Facilities

2. Provide Extraordinary Services 

3. Foster an Innovative and Empowered Workforce

4. Operate as One Team, Dedicated to One Mission

Eight strategic objectives and 19 key performance indicators (KPI) 

support the goals. The high-level KPIs, summarized in Table 1, measure 

the agency’s most critical actions taken in line with the Strategic Plan.

In October 2020, the AOC added seven additional initiatives to 

its FY 2021 Performance Plan. These new Architect’s Strategic 

Initiatives (ASI) include:

 Reorganization: Building a structure to support the AOC’s people 

and mission

 AOC University: Training for the future

 Building Official: Keeping agency staff and customers safe

 Cultural Behaviors Transformation: Strengthening the AOC’s values

 Enterprise Asset Management: Providing the tools to track and 

maintain current assets and plan for future needs

 Human Capital Strategy: Attracting and incentivizing the best 

possible workforce

 Vision 2100 Master and Strategic Plans: Building a legacy

TABLE 1

Summary of High-Level Key Performance Indicators 

H I G H - L E V E L K E Y 

PERFORMANCE INDICATOR

FY 2020

Target

FY 2020

Actual

FY 2020

Results

FY 2021

Target

FY 2021

Actual

FY 2021

Results

STRATEGIC GOAL : Maintain Awe-Inspiring Facilities

Reduce Cumulative Energy Intensity Use. Decrease campuswide 

energy consumption through efficient utility usage. ≥ 40.0% 50.8% Met ≥ 42.0% 48.8% Met

Facility Condition Index. Reduce the percent of the AOC major 

buildings in poor or fair condition. ≤ 44.4% 48.1% Not Met ≤ 48.1% 55.6% Not Met

STRATEGIC GOAL: Provide Extraordinary Services

Customer Satisfaction with Projects. Maintain high customer 

satisfaction with projects. ≥ 90.0% 95.0% Met ≥ 90.0% 94.9% Met

Tenant Survey. Measure how well the AOC provides services to its 

facility occupants. N/A N/A Not 

Applicable ≥ 90.0% 79.0% Not Met

STRATEGIC GOAL: Foster an Innovative and Empowered Workforce

External Safety Inspection Findings. Reduce the safety findings 

identified by the Office of Congressional Workplace Rights. < 1,162 1,492 Not Met < 1,247 2,050 Not Met

Injuries and Illnesses Rate. Reduce the annual injuries and 

illnesses rate. ≤ 2.23% 1.67% Met ≤ 1.67% 1.62% Met

STRATEGIC GOAL: Operate as One Team, Dedicated to One Mission

No FY 2021 KPIs are aligned with this strategic goal.

Strict adherence to pandemic safety protocols has allowed the agency to 

continue to meet its mission while ensuring the safety of its employees 

and the staff working on the Capitol campus.

View the AOC’s FY 2021 Highlights video: 

www.aoc.gov/PAR.
Performance and Accountability Highlights iii

Financial Results in Brief

As evidence of our commitment to financial accountability and 

transparency, in FY 2021 the AOC:

 Received its 17th consecutive unmodified (clean) audit opinion 

on its financial statements

 Received its 10th consecutive Certificate of Excellence in 

Accountability Reporting (CEAR) award from the Association of 

Government Accountants (AGA)

 Prioritized the AOC’s COVID-19 mitigation efforts by ensuring funds 

were available for personal protective equipment and cleaning 

supplies, while supporting the development of COVID-19 impact 

reports and dashboards to facilitate Coronavirus Aid, Relief, and 

Economic Security Act (CARES Act) compliance

 Deployed multiple financial system updates, including the 

upgrade of its core financial management system (Momentum®) 

and its inventory management software (Maximo®); both the 

Momentum® and Maximo® systems migrated their data center to 

the Microsoft® Azure cloud

TABLE 2

Select Financial and Related Nonfinancial Data ($ in millions) 

 FY 2021 FY 2020 PERCENT 

CHANGE

Total Assets $3,825.5 $3,498.7 9%

Total Liabilities $452.2 $403.7 12%

Total Net Position $3,373.3 $3,095.0 9%

Total Revenues $76.9 $86.8 (11%)

Total Net Cost of Operations $755.7 $627.3 20%

Total Appropriations (per 

Statement of Budgetary 

Resources)

 $1,007.6 $728.5 38%

Facility Space Managed 

(square feet)

More than 18.4 

million

More than 18.4 

million -%

Grounds Managed (acres) More than 570 More than 570 -%

Permanent Employees at 

Fiscal Year-End 2,249 2,251 -%

TABLE 3

Independent Auditor’s Internal Control Findings 

CATEGORY FY 2021 FY 2020

Material Weaknesses

Control Gap Identified for 

Retrospective Reviews 

of Estimates

None

Significant Deficiencies None None

FIGURE 3

Summary of Total Liabilities

FIGURE 4

Trend in Total Appropriations

 

 

In FY 2021, the AOC’s appropriations included $321.9 million of 

supplemental funding for security upgrades following the events 

of January 6, 2021, ($300 million) and to respond to the COVID-19 

pandemic ($21.9 million).

As of September 30, 2021, the AOC’s environmental and disposal 

liabilities amounted to $179 million (near 40 percent of total 

liabilities), an increase of $100 million over FY 2020 due to 

increased asbestos abatement costs and agency estimation 

methodology changes.

FIGURE 2

Summary of Total Assets

As of September 30, 2021, the AOC’s property, plant and 

equipment (net of depreciation) represented two-thirds of the 

agency’s total assets.
iv ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Forward-Looking Information in Brief 

The AOC has identified the following as the agency’s most 

significant challenges for FY 2022 and beyond:

Backlog in Deferred Maintenance and Capital Renewal Projects: 

Resource constraints have deferred maintenance and delayed 

important capital renewal work, causing increasing deterioration 

of buildings and grounds. Significant investments are needed for 

preservation and to ensure the future safety of building occupants 

and visitors. As of September 30, 2021, the AOC estimated the 

backlog at $2.05 billion.

Campus Security: The AOC is responsible for supporting the U.S. 

Capitol Police and providing physical security infrastructure around 

the Capitol campus. The AOC continues to focus on meeting security 

and safety requirements while also ensuring that preservation and 

accessibility needs are met.

Cybersecurity: The security of information systems and data is one 

of the largest challenges that federal agencies face. The AOC is not 

an exception and its various information systems are vital to the 

continuity of AOC operations.

Energy Stewardship and Sustainability: The AOC strives to 

maximize energy savings throughout the Capitol campus and in all 

its improvement projects. Although the AOC’s facilities are largely 

composed of historic buildings that were not built to modern 

energy usage standards, the AOC has focused on improving their 

energy conservation capabilities.

Management of Concurrent Construction Projects: The AOC is 

concurrently undertaking multiple major construction, renewal 

and restoration projects. The AOC must ensure that each project is 

delivered safely, remains on time and within budget, and is of the 

highest possible quality, while creating minimal disruptions to the 

agency’s clients.

Attracting, Developing and Retaining a Skilled and Engaged 

Workforce: The AOC requires a skilled, specialized and engaged 

workforce to achieve its mission and deliver services to stakeholders. 

The AOC’s Human Capital Strategy includes efforts to attract, 

develop and retain talented staff.

Workplace Safety and Health: The AOC is responsible for ensuring 

that safety and health standards are met for those who work at 

or visit the Capitol campus. The AOC does this while addressing 

operational needs, applicable regulations, and unique and 

challenging working conditions.

The AOC’s Office of Inspector General (OIG) identified additional 

management opportunities and performance challenges facing 

the organization: auditability and records retention, whistleblower 

protections, working capital fund, and waste and accountability.

The Russell Senate Office Building is undergoing a multiphase restoration to preserve the exterior stonework of the historic building. The AOC’s backlog in deferred 

maintenance and capital renewal projects are among the most significant challenges identified in this year’s Performance and Accountability Report. 

The AOC Performance and Accountability Highlights provides a 

summary of the AOC’s FY 2021 Performance and Accountability 

Report, following the Citizen-Centric Reporting model 

established by the Association of 

Government Accountants (AGA). 

The full report is available online 

at: www.aoc.gov/par.

For more information about the 

AOC, visit our website at: 

www.aoc.gov.

This report is issued with data 

as of June 16, 2022. 
v

Table of Contents 

Websites and Media Platforms (Unaudited)..........(Inside Front Cover)

Fiscal Year 2021 Performance and 

Accountability Highlights (Unaudited)...................................................i

About the Architect of the Capitol ........................................................................i

Performance Results in Brief ..................................................................................ii

Financial Results in Brief .........................................................................................iii

Forward-Looking Information in Brief ..............................................................iv

Message From the Architect of the Capitol (Unaudited).....................vi

Performance and Accountability Report (Unaudited)....................... viii

About This Report .................................................................................................. viii

About The Cover ..................................................................................................... viii

How This Report Is Organized...............................................................................ix

Certificate of Excellence in Accountability Reporting..................................ix

Section 01: Management’s Discussion 

and Analysis (Unaudited)..............................................................................1

Overview .......................................................................................................................1

History of the AOC .....................................................................................................1

Mission and Vision of the AOC...............................................................................4

Organizational Structure of the AOC ..................................................................6

Performance Highlights ........................................................................................11

Financial Highlights ................................................................................................25

Financial Management Systems Framework.................................................35

Financial Systems Strategy: Achieving the AOC’s Mission 

With Improved Financial Management ....................................................37

COVID-19 Financial Impact ..................................................................................38

Analysis of Systems, Control and Legal Compliance .................................39

Federal Managers’ Financial Integrity Act of 1982 ................................39

Architect’s Statement of Assurance ...........................................................40 

Summary of Financial Statement Audit Material Weaknesses 

and Nonconformances ............................................................................41

Other Financial Compliances .......................................................................41

Climate-Related Financial Risk ...........................................................................42

Enterprise Risk Management at the AOC .......................................................43

Forward-Looking Information ............................................................................44

The Year in Photos (Unaudited) .....................................................................52

Section 02: Performance Information (Unaudited)..............................55

Introduction ..............................................................................................................55 

Data Validation and Verification.........................................................................56

Strategic Goal 1: Maintain Awe-Inspiring Facilities .....................................57

Strategic Goal 2: Provide Extraordinary Services .........................................66

Strategic Goal 3: Foster an Innovative and Empowered Workforce ......70

Strategic Goal 4: Operate as One Team, Dedicated to One Mission .....76

Supplement: Architect’s Strategic Initiatives.................................................80

Section 03: Financial Information.................................................................83

Introducing the Principal Financial Statements (Unaudited) ..................83

Message From the Chief Financial Officer (Unaudited) .............................84

Inspector General Transmittal (Unaudited) ...................................................86

Independent Auditors’ Report............................................................................88 

Architect of the Capitol’s Response 

to the Inspector General (Unaudited) .......................................................93

Financial Statements ..............................................................................................94

Notes to the Financial Statements ....................................................................98 

Required Supplementary Information (Unaudited) .................................122

A: Combining Schedule of Budgetary Resources ...............................122

B: Deferred Maintenance and Repairs .....................................................124

C: Heritage Assets ...........................................................................................125

Section 04: Other Information (Unaudited)...........................................137

Overview ..................................................................................................................137

The Inspector General’s Statement of Management Opportunities 

and Performance Challenges ....................................................................138

Summary of Financial Statement Audit 

and Management Assurances ...................................................................149

Payment Integrity ..................................................................................................150

Real Property Capital Planning .........................................................................151

Energy and Sustainability Program Management Report......................152

Small Business Accomplishments Report ....................................................156

Human Capital Management Report .............................................................157

Appendices (Unaudited) .................................................................................165

Appendix A: Architects of the Capitol ............................................................165

Appendix B: Major Facilities Under the AOC’s Care ..................................166

Appendix C: The AOC Operational Jurisdictions’ 

Key Accomplishments and Priorities .......................................................168

Appendix D: Major Stone Repair, Façade 

and Preservation Projects ............................................................................174

Appendix E: Major Exhibitions and Programs .............................................176 

Appendix F: Reimbursable Accounts Summary .........................................178

Appendix G: Glossary ...........................................................................................179

Appendix H: Abbreviations and Acronyms ..................................................182

Appendix I: Acknowledgements .....................................................................186 

We Would Like to Hear From You .....................................(Inside Back Cover)

Capitol Highlights

January 6, 2021, at the U.S. Capitol .............................................................3

Cannon Renewal ..............................................................................................15

Office Moves for the 117th Congress .......................................................18

Utility Master Plan for Sustainable Energy .............................................24

Heritage Asset Conservation .......................................................................30

Senate Underground Garage and Landscape Restoration ..............49

Restoration of the Olmsted Lanterns .......................................................63

Exhibition Hall Renovation ..........................................................................68

Transforming the Library of Congress Visitor Experience .................69

New Pesticide Recertification Program ...................................................72

Using Photography for Historic Preservation.....................................132

Infographics

Architect of the Capitol Responsibilities ...................................................5

Cannon Renewal Phases ...............................................................................14

59th Presidential Inauguration ...................................................................20 

Legislative Branch Financial Management System Users .................36

Getting To Know the AOC .........................................................................131

Human Capital by the Numbers .............................................................162
vi ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Message From the Architect of the Capitol 

I am pleased to present the Architect of the Capitol’s (AOC) Fiscal 

Year (FY) 2021 Performance and Accountability Report (PAR). The 

AOC traces its origins to 1793 and serves as caretaker for the Capitol 

campus, which now includes more than 18.4 million square feet 

of facilities, more than 570 acres of grounds and thousands of 

works of art and architecturally significant assets, including the U.S. 

Capitol Building. The stewardship of these assets is at the core of the 

AOC’s mission to serve Congress and the Supreme Court, preserve 

America’s Capitol and inspire memorable experiences. 

This report reflects the AOC’s commitment to providing 

transparency and accountability for the public funds with which 

we are entrusted. The PAR also includes the results of this year’s 

independent financial statement audit, assesses our agency’s 

operational progress toward achieving our strategic goals and 

identifies our future opportunities and challenges.

This fiscal year was truly unprecedented. We continued our 

COVID-19 pandemic response and recovery, endured the breach 

of the U.S. Capitol on January 6, 2021, and supported two lying 

in honor ceremonies. This was also an election year in which we 

successfully facilitated the 59th Presidential Inauguration and the 

office moves for the 117th Congress.

The events of January 6 were difficult to witness and extremely 

hard for all of us on the Capitol campus to experience. On that day, 

our employees were preparing the grounds and the presidential 

inauguration platform. As crowds began to appear on the U.S. 

Capitol Grounds, we moved our staff indoors. Over the course of 

the day, the U.S. Capitol and the inauguration platform sustained 

substantial damage. The crowds wrecked the platform, smashed 

windows, damaged and stole sound systems and photography 

equipment, and tracked wet paint through the historic hallways 

of the U.S. Capitol. During those harrowing hours, AOC personnel 

sheltered congressional staff in their workshops, raced to the roof 

to reverse building airflows to help clear the air of chemical irritants, 

and provided water and eye-wash stations to U.S. Capitol Police 

officers in need of assistance. Once security officials had cleared the 

building, AOC employees worked tirelessly to clean up and begin 

repair work. Carpenters covered windows and doors with plywood 

to secure the building, laborers removed glass and broken furniture 

to enable Congress to continue its work, and painters carefully 

repainted the inauguration platform. We ensured that the Electoral 

College certification process could continue and that the Capitol 

campus was prepared for the 59th Presidential Inauguration, 

signaling our nation’s determination to support a peaceful transition 

of power. Over the remaining months of the fiscal year, the AOC 

received thousands of letters and emails from grateful citizens 

thanking the AOC and its employees for their service during 

these challenging times. These letters serve to remind us of the 

importance of the work we do at the AOC.

The AOC Strategic Plan

In our Strategic Plan, the agency’s mission is broken out into four 

strategic goals. The first two strategic goals — (1) Maintain AweInspiring Facilities and (2) Provide Extraordinary Services — keep 

us focused on our core mission. The next two goals — (3) Foster an 

Innovative and Empowered Workforce and (4) Operate as One Team, 

Dedicated to One Mission — support our new core values: Respect, 

Integrity, Safety and Empower. Together, the four goals chart a path 

that leverages our core competencies and affirms our vision as an 

exceptional team serving Congress and the Supreme Court. Our 

FY 2021 accomplishments, by strategic goal, include:

Maintain Awe-Inspiring Facilities

In FY 2021, the AOC made progress on a number of construction 

and renovation projects, despite the pandemic. The AOC completed 

Phase 2 and began work on Phase 3 of the Cannon Renewal, thanks 

to strict safety and social distancing protocols that allowed more 

than 450 project staff to work on-site. We also continued to restore 

and preserve the deteriorating stone and metal features on many 

of the agency’s most treasured assets, including projects for the U.S. 

Capitol Building, Russell Senate Office Building, Senate Underground 

Garage and Senate Park. Other major projects included replacing 

incandescent and fluorescent lighting with LEDs throughout the 

House and Senate office buildings and installing variable speed 

drives at the Capitol Power Plant, both of which enhance energy 

efficiency. Additionally, the agency made progress on the restoration 

of the historic U.S. Capitol Grounds landscape. 

The Honorable J. Brett Blanton

Architect of the Capitol
Message From the Architect of the Capitol vii

Provide Extraordinary Services

The AOC had the honor of supporting the 59th Presidential 

Inauguration. For this special event, the AOC erects the inaugural 

platform on the U.S. Capitol’s West Front, sets up the necessary 

seating and coordinates activities with the Joint Congressional 

Committee on Inaugural Ceremonies. Election years also require 

the AOC to execute House and Senate office moves and space 

reassignments. While the pandemic forced the agency to consider 

new ways of supporting our customers — including staffing, safety 

protocols, scheduling and technology — the AOC maintained 

vigilant cleanliness and safety protocols in all congressional offices 

and committee rooms. Together, we ensured the vital safety and 

protection of the Capitol campus, the congressional community and 

our staff. Despite the continued closure of the U.S. Capitol Visitor 

Center (CVC) and U.S. Botanic Garden Conservatory due to the 

pandemic, the AOC strived to engage with the public by expanding 

online programs with virtual lectures, student programs, video tours 

and new web-based content. This fiscal year, the AOC also opened 

an online CVC gift shop, offering made-in-the-USA products, books 

and other collectibles.

Foster an Innovative and Empowered 

Workforce and Operate as One Team, 

Dedicated to One Mission

Following a six-month review, the AOC launched an organizational 

transformation in October 2020, designed to create greater 

alignment and cohesion within the agency. As part of the 

organizational transformation, we also introduced seven Architect’s 

Strategic Initiatives (ASI) to address the most critical needs of the 

agency and the Capitol community. Under the Reorganization 

initiative, the Office of the Architect oversees a new C-suite — a 

group of executives with agencywide responsibility that is organized 

by function rather than by Capitol campus location, which better 

serves the AOC’s stakeholders. These initiatives also include the 

development of an Enterprise Asset Management (EAM) system 

to improve facilities maintenance and the introduction of Vision 

2100, a strategic outlook for the Capitol campus over the next 

80 years. When complete, Vision 2100 will create a governance 

structure connecting a series of linked five-year plans to inform 

the next 20-year Capitol Complex Master Plan. Other initiatives 

include the establishment of a Building Official program to ensure 

code compliance, a Human Capital Strategy, an AOC University 

to facilitate employee development and training, and a Cultural 

Behaviors Transformation.

Looking to the Future

The AOC’s most significant future challenges include our deferred 

maintenance backlog, cybersecurity and physical security. Our 

deferred maintenance backlog is estimated at $2.05 billion 

at FY 2021 year-end. We continue to use facility condition 

assessments to identify and prioritize facilities maintenance 

projects. Once established, the EAM program will further assist in 

this prioritization. Cybersecurity is an increasing concern for the 

agency, as a proliferation of debilitating cyberattacks continue to 

affect government and private entities. Our cybersecurity teams 

work diligently to ensure that our systems are updated with the 

most recent protective measures. Lastly, the events of January 6 

highlighted the importance of physical security on the Capitol 

campus. In the aftermath of that day, we initiated a comprehensive 

facility security assessment that will serve as a prerequisite to any 

new security enhancements and will strengthen the security posture 

of the Capitol campus.

Despite the year’s many challenges, I am proud to report that the 

AOC continued to achieve excellence in our financial management. 

Unfortunately, the transition of independent financial statement 

auditors delayed the start of our FY 2021 audit and, as a result, the 

audit was not completed until June 15, 2022. Nonetheless, the AOC 

received a “clean” opinion on our consolidated financial statements 

for the 17th consecutive year. The auditors identified one material 

weakness and no significant deficiencies. We pledge to develop a 

corrective action plan to address this matter timely.

Conclusion

The AOC takes pride in the stewardship of our public funds. This 

report provides a comprehensive overview of the AOC’s work over 

the past fiscal year and the challenges we face going forward. 

As shown in the Statement of Assurance found in the report’s 

Management’s Discussion and Analysis (Page 40), I provide 

my assurance that, with the exception of the material weakness 

identified, the financial and performance data presented in this 

report is complete, reliable and accurate. We thank Congress for its 

trust, support and investment in our agency and mission. In the face 

of such a challenging year, our staff has continued to work tirelessly 

to care for the Capitol campus and provide exemplary support 

for Congress and the Supreme Court. We will continue to meet 

challenges as they arise and ensure that the U.S. Capitol remains a 

beacon of hope for the American people.

J. Brett Blanton 

Architect of the Capitol 

June 15, 2022
viii ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

About This Report 

The Architect of the Capitol’s (AOC) annual Performance and 

Accountability Report (PAR) provides financial management and 

program performance information to Congress and the American 

people. The Fiscal Year (FY) 2021 report describes how the AOC 

accounts for the public funds and property under its care and 

includes a comprehensive record of the agency’s recent successes 

and challenges in executing its mission.

The AOC is a legislative branch agency. Most federal financial 

management and reporting statutes apply exclusively to the 

executive branch. However, as a best practice, the AOC references 

the federal legislation and related guidance for its financial 

management practices. These include:

 Federal Managers’ Financial Integrity Act of 1982

 Chief Financial Officers Act of 1990

 Government Performance and Results Act (GPRA) of 1993 (as 

amended by the GPRA Modernization Act of 2010)

 Government Management Reform Act of 1994

 Federal Financial Management Improvement Act of 1996

 Reports Consolidation Act of 2000

 Accountability of Tax Dollars Act of 2002

 Payment Integrity Information Act of 2019

 Office of Management and Budget (OMB) Circular A-136 Revised, 

Financial Reporting Requirements 

 OMB Circular A-11, Preparation, Submission and Execution of the 

Budget

 OMB Circular A-123, Management’s Responsibility for Enterprise 

Risk Management and Internal Control

Throughout this report, Capitol Highlights spotlight major 

construction projects, important events and agency 

accomplishments. Infographics, charts, tables and photographs 

provide further insight. The report also includes links to online 

videos, websites and social media platforms for additional 

information. References to other report sections appear in bold font 

to improve readability. However, this bold text does not include 

hyperlinks to the section discussed. 

Example:

For an in-depth discussion of the indicator results and strategy 

outcomes, see Section 02: Performance Information.

The report is available for download or online viewing in standard 

PDF and interactive versions on the AOC’s website at: www.aoc.

gov/par. In addition, the AOC publishes the report for additional 

platforms to increase its reach and appeal. While the content of 

each report is identical, the digital versions offer unique interactive 

features for online and mobile users. The additional versions include:

 PDF — A Section 508-compliant PDF version that can be fully 

read by assistive devices to make the report accessible to 

individuals with disabilities

 Interactive Report — A reader-friendly navigable digital version 

for online readers 

 Tablet Report — An innovative e-reader version for Apple and 

Android tablets

As a complement to the full report, a six-page citizen-centric 

highlights version (also Section 508-compliant) and a brief video 

highlights reel are available on the AOC’s website.

P E R F O R M A N C E A N D 

ACCOUNTABILITY REPORT

ABOUT THE COVER

Every four years, the AOC plays a 

crucial role in planning, managing 

and executing the construction 

and logistics for the presidential 

inaugural ceremony at the U.S. 

Capitol. For the official event, the AOC 

constructs the inaugural platform 

and coordinates other activities with 

the Joint Congressional Committee 

on Inaugural Ceremonies (JCCIC). For 

the 59th Presidential Inauguration, this included significant 

modifications to the seating to meet social distancing 

guidelines and repairs to damage caused to the platform on 

January 6. The JCCIC Chairman, Senator Roy Blunt, observed, 

“In a normal year, organizing an inauguration is a major 

undertaking, but when you add a pandemic and then you 

add the events of January 6, it was uniquely challenging.” 

Thanks to the hard work of the AOC employees, the event was 

safely held as Joseph Biden was sworn in as President on the 

U.S. Capitol Building’s West Front.

“A regular Statement and Account of the Receipts and Expenditures 

of all public Money shall be published from time to time.” 

U.S. Constitution, Article I, Section 9
ix

C E R T I F I C A T E O F E X C E L L E N C E I N A C C O U N T A B I L I T Y R E P O R T I N G 

In May 2021, the AOC received the AGA’s prestigious Certificate of 

Excellence in Accountability Reporting (CEAR) for the FY 2020 PAR. 

This was the 10th consecutive year the AOC has received the award. 

The AGA, in conjunction with the Chief Financial Officers Council 

and the OMB, created the CEAR program to enhance financial and 

program accountability. The CEAR award represents the highest 

form of recognition in federal government financial reporting. 

The AGA presents the annual award to federal organizations for 

producing informative, high-quality reports that provide clear 

insight into their agency’s spending and program performance. 

This fiscal year, the AOC also received a Certificate of Excellence 

in Citizen-Centric Reporting from the AGA for its FY 2020 

Performance and Accountability Highlights. The AGA’s CitizenCentric Reporting initiative is designed to encourage governments 

at all levels to improve the way they present financial and 

performance information to taxpayers.

How This Report Is Organized 

The FY 2021 PAR provides information on the AOC’s financial 

and performance operations, accomplishments and challenges. 

The report covers the fiscal year beginning October 1, 2020, and 

ending September 30, 2021. The report begins with highlights of 

the agency’s financial and performance results and a message from 

the Architect of the Capitol, which are followed by the four main 

sections of the report and its appendices.

Section 01: Management’s Discussion 

and Analysis 

The Management’s Discussion and Analysis (MD&A) section presents 

an overview of the AOC’s FY 2021 financial and performance 

achievements. The section includes information on the AOC’s 

history, mission, organizational structure, financial management 

systems and the financial impact of the COVID-19 pandemic on 

the agency. The Architect’s Statement of Assurance on internal 

controls and the agency’s forward-looking information conclude the 

MD&A section.

Section 02: Performance Information 

The Performance Information section includes the AOC’s annual 

performance results. The section identifies the Strategic Plan 

framework, describes how the AOC verifies and measures 

performance data, and summarizes its goals, objectives and key 

performance indicators. 

Section 03: Financial Information 

The Financial Information section includes the message 

from the Chief Financial Officer, the agency’s financial 

statements, the independent auditor’s reports and required 

supplementary information.

Section 04: Other Information 

The Other Information section presents the Inspector General’s 

Statement of Management Opportunities and Performance 

Challenges, a summary of the AOC’s financial statement audit, 

management assurances, payment integrity and mandatory 

congressional reports on the AOC’s energy and sustainability, small 

business and human capital management programs.

Appendices 

The appendices provide additional data about the agency, including 

a listing of the major facilities under the AOC’s care, a summary of 

the accomplishments and priorities for the operational or frontline 

AOC jurisdictions, major exhibitions and visitor programs, and a 

glossary of key terms.
x ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

The AOC is the builder and steward of the landmark buildings and 

grounds on the Capitol campus. This responsibility includes caring 

for more than 570 acres of grounds, thousands of treasured works of 

art and more than 18.4 million square feet of buildings, including the 

U.S. Capitol.
SECTION 01

M A N A G E M E N T ’ S 

D I S C U S S I O N 

AND ANALYSIS

Overview 

The Management’s Discussion and Analysis (MD&A) section provides 

an overview of the PAR and includes the most important matters 

regarding the AOC’s program and financial performance. This 

section contains:

History of the AOC — information on the AOC’s origin and history

Mission and Vision of the AOC — description of the mission, vision 

and core values

Organizational Structure of the AOC — information about the 

organizational structure and leadership

Performance Highlights — summary of the strategic planning 

framework and performance results

Financial Highlights — analysis of the AOC’s financial results, 

position and condition

Financial Management Systems Framework — explanation of 

the financial management systems in use for financial and budget 

management at the AOC

Financial Systems Summary: Achieving the AOC’s Mission with 

Improved Financial Management — explanation of the strategies 

for improving the AOC’s financial management in support of the 

agency’s mission

COVID-19 Financial Impact — summary of the financial impact of 

the COVID-19 pandemic on the AOC, including a discussion of the 

budgetary resources received

Analysis of Systems, Control and Legal Compliance —

management’s assessment and assurance on internal controls 

under the Federal Managers’ Financial Integrity Act of 1982, summary 

of climate-related financial risk and the AOC’s compliance with 

applicable financial laws and regulations

Enterprise Risk Management at the AOC — summary of the AOC’s 

enterprise risk management (ERM) program

Forward-Looking Information — highlights of the most significant 

challenges identified by management and the AOC’s actions and 

plans to mitigate those challenges

History of the AOC 

1790-1800

The AOC’s origins date to the founding of the federal 

capital. The Residence Act of 1790 established Washington, 

D.C. as the seat of the national government and authorized 

a Board of Commissioners to “provide suitable buildings for the 

accommodation of Congress.” The commissioners hired Pierre 

L’Enfant to develop a city plan and Andrew Ellicott to survey the 

boundaries of the 100-square mile federal district. In 1792, Dr. 

William Thornton’s depiction of a grand, two-winged structure 

topped by a central dome won a public competition for the design 

of the U.S. Capitol Building. Today he is credited as the first “Architect 

of the Capitol.” Construction of the U.S. Capitol began shortly 

thereafter when President George Washington ceremoniously set 

the building’s cornerstone in 1793.

1801-1900

In 1802, Congress consolidated the duties of the Board of 

Commissioners into a single superintendent, the 

Commissioner of Public Buildings and Grounds, who was 

responsible for the care of the U.S. Capitol Building — which at the 

time housed Congress, the Library of Congress (Library), the 

Supreme Court of the United States, the district courts and other 

offices — and the U.S. Capitol Grounds. Following the 1814 burning 

of the U.S. Capitol by British troops, the building was restored and 

expanded to accommodate the needs of Congress. During the 1850s 

and 1860s, a new position, the Architect of the Capitol Extension, 
2 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

oversaw the cast-iron dome construction and the addition of the 

north and south extensions to the U.S. Capitol. In 1867, Congress 

combined the responsibilities of the Commissioner of Public 

Buildings and Grounds with those of the Architect of the Capitol 

Extension. Between 1874 and 1892, the grounds surrounding the 

U.S. Capitol expanded based on the grand design of noted American 

landscape architect Frederick Law Olmsted. During this expansion, 

in 1876, Congress established the Architect of the Capitol as a 

permanent office under the legislative branch of the federal 

government.1

1901-2000

The AOC’s responsibilities and the size of the Capitol 

campus continued to expand throughout the 20th 

century. The agency assumed responsibility for the 

operation and maintenance of the Library of Congress’ Thomas 

Jefferson Building and the U.S. Botanic Garden. The AOC oversaw 

new construction on Capitol Hill to support the growing needs of 

Congress, the Supreme Court of the United States2 and the Library of 

Congress. During this period, the AOC oversaw construction of three 

House office buildings, three Senate office buildings, the Supreme 

Court of the United States, the Thurgood Marshall Federal Judiciary 

Building, the Library of Congress’ John Adams Building and James 

Madison Memorial Building, the Capitol Power Plant’s generator 

1 Appendix A provides information on the 12 individuals who have served as 

Architect of the Capitol, beginning with Dr. Thornton.

2 The AOC shares facility management responsibilities with the Marshal of the 

Supreme Court.

building and main boiler plant, and various other support facilities. 

In 2000, a symbolic groundbreaking was held to start the 

CVC construction. 

2001-Present

The 21st century began with the construction of the 

CVC (completed and opened to the public in 2008), 

the largest expansion to the U.S. Capitol Building in its 

history, to enhance the security, comfort and educational experience 

of visitors to the U.S. Capitol. In 2011, the AOC took responsibility for 

Union Square, a 13-acre site between the U.S. Capitol and the 

National Mall, which increased the land portfolio under the AOC’s 

stewardship to more than 570 acres. In 2016, the AOC completed the 

U.S. Capitol Dome restoration and, in 2017, Congress transferred 

stewardship responsibility for the O’Neill House Office Building to 

the AOC. In 2018, the AOC completed construction on the 

Cogeneration Plant at the Capitol Power Plant. Today, the AOC is in 

the middle of an approximately 10-year project to renew the 

Cannon Building. Although most of the AOC’s managed facilities are 

located on or near Capitol Hill, the AOC also maintains support 

facilities in locations beyond the limits of the District of Columbia.3

Figure 1 (Page i) provides a map of the major facilities on the Capitol 

campus. Figure 5 charts the growth of the AOC’s responsibilities 

from the construction of the U.S. Capitol Building to the present day. 

Appendix B includes a list of the major facilities under the AOC’s care.

3 For example, off-site support facilities include the Packard Campus for AudioVisual Conservation in Culpeper, Virginia and the Library of Congress Book Storage 

Modules in Fort Meade, Maryland.

FIGURE 5

Growth in Major Facilities Under the AOC’s Care

 

Note: This figure tracks the square footage for all the AOC’s owned and leased buildings. Only the major facilities are labeled in the figure, although the 

square footage of smaller buildings is also included in the display.
Management’s Discussion and Analysis | SECTION 01 3

JANUARY 6, 2021, AT THE U.S. CAPITOL

The breach of the U.S. Capitol Building on January 6, 2021, was a 

tragic event for the American people and for the AOC. That morning, 

AOC employees were working on the presidential inauguration 

platform when crowds overwhelmed the U.S. Capitol Grounds 

and broke through the doors and windows of the U.S. Capitol, 

tarnishing the building’s historic corridors with wet paint and 

debris and damaging the inauguration platform and equipment.

As the day unfolded, AOC leadership rapidly accounted for its onsite employees and contractors, helped them shelter in place and 

protected them. Off-site staff coordinated food service logistics 

for those in lockdown and on-site staff provided legislators and 

congressional staffers with food and water while they were safely 

harbored. The agency worked with the U.S. Capitol Police (USCP), 

the Department of Defense and others to secure the building and 

minimize further damage. After the U.S. Capitol was cleared, the 

AOC worked to clean the House Chamber and set up an alternate 

Senate Chamber to maintain continuity of operations that allowed 

for the certification of the presidential election later that night.

In the immediate aftermath of the breach, the AOC worked to repair 

the damage done to the U.S. Capitol. The inauguration platform was 

repainted and repaired in time for the inauguration of President 

Joseph Biden on January 20. Fifty-six broken windows in the U.S. 

Capitol were replaced and their surrounding areas repaired, which 

included abating hazardous elements and repainting doors, window 

frames and damaged walls. The AOC Curator conducted an immediate 

condition assessment of all artworks under the AOC’s care and 

analyzed chemical residues on various artworks throughout the 

building with support from the Smithsonian Institution. The AOC 

hired conservators to remove large accretions of pepper spray from 

the murals that decorate the U.S. Capitol’s Brumidi Corridors. Over 

the following weeks and months, the AOC ensured that all available 

security resources were used to support the emergency costs, 

including temporary fencing and support for the National Guard. 

By early July 2021, the last remaining security fence that had been 

erected after the breach was removed, reopening the U.S. Capitol 

Grounds to the public. Under the Emergency Security Supplemental 

Appropriations Act, 2021 the agency received $300 million to enhance 

safeguards for the Capitol campus, including funds for window 

and door upgrades and the installation of new security cameras. 

“I have continually been impressed and inspired by the great work 

of this agency,” said Architect of the Capitol J. Brett Blanton. “I am 

honored to lead a team whose extraordinary efforts on January 

6, and the days that followed, helped Americans of all walks of 

life take solace in seeing order restored to the U.S. Capitol.”

CAPITOL

HIGHLIGHTS
4 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Mission and Vision of the AOC 

Who We Are

Serving Congress and the Supreme Court, the AOC is the builder 

and steward of the landmark buildings and grounds on the Capitol 

campus. This responsibility includes caring for more than 18.4 

million square feet of buildings, more than 570 acres of grounds and 

thousands of treasured works of art. The AOC’s offices are primarily 

based in Washington, D.C., with off-site support facilities in Maryland 

and Virginia. 

The AOC’s dedicated workforce includes more than 2,200 

permanent employees, in addition to temporary and seasonal staff. 

The AOC team works tirelessly behind the scenes day and night to 

provide Congress and the Supreme Court with the facilities and 

infrastructure to conduct their business. The AOC staff includes 

architects, carpenters, custodians, electricians, engineers, gardeners, 

laborers, masons, mechanics, painters, plasterers, woodcrafters, 

planners, plumbers, sheet metal workers, upholsterers and other 

craftspeople. The AOC artisans use a combination of cutting-edge 

techniques and centuries-old trade skills to preserve the historic 

artifacts that exist throughout the Capitol campus. The Infographic: 

Architect of the Capitol Responsibilities displays the major 

mission responsibilities of the agency.

A brief video on the AOC’s workforce and their pride in working for 

the agency, “We Are AOC,” may be viewed here on YouTube. For 

the distribution of the AOC’s permanent employees by location, 

see Figure 6. 

Mission

To serve Congress and the Supreme Court, preserve America’s 

Capitol and inspire memorable experiences. The tag line “Serve, 

Preserve, Inspire” succinctly defines the agency’s mission and 

appears on the cover of this Performance and Accountability Report.

Vision

The employees of the AOC are an exceptional team, acclaimed for 

superior service, recognized as trusted stewards and renowned for 

enriching people’s lives.

Core Values

The AOC’s shared workplace values influence the choices we make 

and actions we take to meet the agency’s mission. These values 

allow the AOC’s employees to RISE together. 

RESPECT | We treat one another with 

civility and kindness, so that we honor 

the value and dignity of all people. 

INTEGRITY | We demonstrate honesty, 

ethics and reliability, so that we earn 

trust and do what is right. 

SAFETY | We are governed by the 

foundation of safety always, so that we 

can feel safe, make safe and be safe. 

EMPOWER | We are one team seeking 

better ways to do our work, so that we 

all contribute to the success of the AOC.

An inspection of a wall mural in the Brumidi Corridors by the AOC Curator after the January 6 breach of the U.S. Capitol. In FY 2021, the AOC redirected resources from 

ongoing projects to address the damage caused during the events of January 6.
Management’s Discussion and Analysis | SECTION 01 5

INFOGRAPHIC

Architect of the Capitol Responsibilities

 

FIGURE 6

Permanent Employees by AOC Location

*All positions listed under the Office of the Chief Security Officer (formerly shown as Capitol Police Buildings, Grounds and Security) are included under the "All Supporting 

Offices" category. This figure represents the organizations supporting the AOC operating jurisdictions and also includes C-suite offices such as the Office of the Chief 

Engineer, the Office of the Chief Administrative Officer and others.
6 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Organizational Structure 

of the AOC 

The Architect of the Capitol

The Architect of the Capitol is both the name of the U.S. legislative 

branch agency responsible for the maintenance and upkeep of the 

Capitol campus, as well as the title for the leader of the agency. The 

AOC’s offices are primarily based in Washington, D.C., with off-site 

support facilities in Maryland and Virginia. In October 2020, the AOC 

reorganized to enhance its efficiency, decision-making and service 

delivery. The AOC is organized around the Office of the Architect, 

a C-suite of executives and other offices that provide directed 

assistance to the operational elements, or jurisdictions, that serve 

as the frontline providers of services to Congress and the Supreme 

Court. This updated organizational structure maximizes efficiencies 

and effectiveness and enables the agency to excel at meeting 

the mission to serve, preserve and inspire. Figure 7 presents the 

AOC’s organization chart as of September 30, 2021. The AOC’s 

organizational directory is online at: www.aoc.gov/about-us/

organizational-directory.

The Office of the Architect

The Office of the Architect provides a global perspective and vision 

for the agency and helps the AOC navigate the legal, political 

and regulatory landscapes for the C-suite. This office includes the 

Architect of the Capitol, the Deputy Architect of the Capitol, the 

Chief of Staff, the Legislative and Public Affairs Director, the General 

Counsel and the Safety and Code Compliance Director. The Equal 

Employment officials, the Inspector General and the Attending 

Physician also report directly to the Architect of the Capitol. The 

Office of the Architect is funded by the Capital Construction and 

Operations appropriation. 

ARCHITECT OF THE CAPITOL

The AOC is led by the Architect of the Capitol.4 Appointed by the 

president and subject to Senate confirmation, the Architect of the 

Capitol serves a 10-year term. In addition to leading the agency, 

the Architect of the Capitol also serves as the acting director of the 

U.S. Botanic Garden, as a member of the Capitol Police Board and 

the Congressional Accessibility Services Board, and as an ex-officio 

4 Throughout this report, the acronym “AOC” refers to the agency and not to the 

individual appointed to lead the agency. 

FIGURE 7

The AOC Organization Chart

 

Note: The dashed lines on the chart identify three offices with split reporting relationships. While the Inspector General reports to and is under the general supervision of the 

Architect of the Capitol, the Office of Inspector General is an independent office and reports to Congress. The Equal Employment Opportunity officials are managed by the 

Deputy Architect of the Capitol and the Chief Administrative Officer, but they have a direct reporting relationship to the Architect of the Capitol. Although the AOC supports 

the Office of Attending Physician, it is an independent legislative branch office.

DID YOU KNOW?

In FY 2021, the AOC underwent an internal 

reorganization to reinvigorate the agency and better 

serve Congress, the Supreme Court and visitors to 

the Capitol. Under the reorganization, the Office of 

the Architect oversees five new C-suite executives 

that have responsibility for agencywide policies 

within their areas of expertise. 
Management’s Discussion and Analysis | SECTION 01 7

member for the United States Capitol Preservation Commission and 

the National Building Museum. Additionally, the Architect of the 

Capitol is a member of the District of Columbia Zoning Commission, 

the President’s Advisory Council on Historic Preservation, the 

National Capital Memorial Advisory Commission, the Art and 

Advisory Committee to the Washington Metropolitan Area Transit 

Authority and the National Institute for the Conservation of Cultural 

Property. Appendix A provides a list of the individuals who have 

served as the Architect of the Capitol.

The Deputy Architect of the Capitol assists the Architect of the 

Capitol in running the agency. The Chief of Staff provides executive 

support to the Architect of the Capitol and the Deputy Architect of the 

Capitol, as well as serving as the liaison with the Office of Inspector 

General and the U.S. Government Accountability Office (GAO).

The Office of Legislative and Public Affairs is responsible for 

strategic communication initiatives, legislative affairs, and media 

and community relations. The office oversees communications to 

Members of Congress and their staff, and to external parties such 

as the press, government agencies and the public. The office also 

creates a variety of resources for agency stakeholders including 

graphics, videos, publications and web content. 

The Office of General Counsel (OGC) provides legal guidance on 

matters involving construction and service contracts, occupational 

safety and health, labor management and employee relations, 

environmental issues, legislation, insurance and property 

management. The OGC serves as the AOC’s supervising ethics office.

The Office of Safety and Code Compliance (SCC) is responsible 

for leading the AOC’s efforts to provide a world-class safety 

culture, reduce injuries and incidents, and ensure that the AOC 

complies with safety, fire and environmental regulations. The 

office establishes safety, environmental and fire prevention and 

protection policy, oversees code and industry standard compliance, 

and conducts oversight. It serves as the AOC’s point of contact 

with regulatory agencies for occupational safety and health, fire 

protection and environmental matters.

The Equal Employment Opportunity (EEO) officials support 

the AOC’s commitment to providing a work environment free 

of discrimination and harassment. The office oversees agency 

efforts to promote an inclusive, respectful and civil workplace and 

enables supervisors and employees to proactively deal with conflict 

resolution. The C-suite’s Chief Administrative Officer is designated as 

the agency’s Equal Employment Opportunity officer.

The Office of Inspector General (OIG) promotes the integrity, 

efficiency and effectiveness of agency operations and programs and 

was established by the Architect of the Capitol Inspector General Act 

of 2007. The OIG conducts independent audits and investigations, 

reviews existing and proposed legislation and regulations, and 

recommends policies to promote economy and efficiency or to detect 

and prevent fraud and abuse. The OIG issues the Semiannual Report to 

Congress. The OIG reports may be found at: www.oversight.gov.

The Office of Attending Physician (OAP) provides primary care, 

emergency, environmental and occupational health services in 

support of the congressional community, the Supreme Court, 

visiting dignitaries, pages, staff and tourists. The OAP operates 

multiple health units across the Capitol campus. The AOC provides 

administrative support to the OAP.

THE C-SUITE

The C-suite is comprised of five executives with agencywide 

responsibility and authority who focus on operational performance, 

ERM and accountability. The suite includes the Chief Administrative 

Officer, Chief Engineer, Chief Financial Officer, Chief of Operations 

and Chief Security Officer. Except for the Office of Chief Security 

Officer (OCSO), the C-suite is funded by the Capital Construction and 

Operations appropriation. The OCSO is funded through the Capitol 

Police Buildings, Grounds and Security appropriation.

The Office of the Chief Administrative Officer (OCAO) provides 

administrative and business support and includes the Curator 

Division; Diversity, Inclusion and Dispute Resolution (DI/DR) 

office; Human Capital Management Division (HCMD); Information 

Technology Division (ITD); Office Services Division; Policy and Special 

Programs Division; and Supplies, Services and Logistics Division. The 

Curator Division is responsible for the care and conservation of the 

architectural, fine and decorative arts under the AOC’s stewardship 

and management of the agency’s Photography and Technical 

Imaging Branch and the Records Management and Archives Branch. 

For more information: www.aoc.gov/about-us/organizationalstructure/office-chief-administrative-officer.

The Office of the Chief Engineer (OCE) provides consolidated 

services to the AOC including long-range facility planning, 

architectural and engineering design, historic preservation, and 

project, program and construction management. The office 

conducts Capitol campus master planning, building performance 

audits, retro-commissioning and facility condition assessments 

(FCA). The office manages an energy and sustainability program, 

provides project-funded, in-house construction services, supports 

critical Capitol campus systems, and oversees the Enterprise Asset 

Management (EAM) and building automation systems. As part of the 

Reorganization, the Design and Construction Acquisition Division 

was added to assist with acquisitions and contracts. For more 

information: www.aoc.gov/about-us/organizational-structure/

office-chief-engineer.

The Office of the Chief Financial Officer (OCFO) acquires and 

distributes resources that sustain the financial needs of the 

operational jurisdictions and central services of the AOC. The OCFO 

does this by executing the core supporting functions of budgeting, 

accounting, financial systems operations, ERM, program analysis and 

evaluation, and enterprise data management. The office provides 

real-time financial analysis and information that promotes economy, 

builds evidence-based requirements and maximizes performance. 

For more information: www.aoc.gov/about-us/organizationalstructure/office-chief-financial-officer.

The Office of the Chief Security Officer (OCSO), which is funded 

by the AOC’s Capitol Police Buildings, Grounds and Security 

appropriation, is responsible for the maintenance, care and operation 

of the buildings, grounds and physical security enhancements of the 

USCP and related campuswide infrastructure. The OCSO also manages 

the AOC’s internal security programs — including personnel suitability 

and badging, continuity of operations, resiliency programs and the 

emergency management program — and coordinates interagency 

emergency preparedness for the AOC. For more information: www.

aoc.gov/about-us/organizational-structure/office-chief-securityofficer.
8 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

The Office of the Chief of Operations (OCO) oversees the 

operational jurisdictions that provide the front-line efforts to meet 

the AOC’s mission. Figure 9 displays the operational jurisdictions 

reportable to the Chief of Operations. Each jurisdiction is funded by 

a separate appropriation.

Appendix B lists the major facilities under the Chief of Operations’ 

stewardship and Appendix C highlights each operational 

jurisdiction’s FY 2021 accomplishments and FY 2022 priorities. The 

operational jurisdictions are discussed in more detail below.

CAPITOL BUILDING

The Capitol Building jurisdiction is responsible for the care and 

stewardship of the U.S. Capitol Building, the centerpiece of the 

Capitol campus. The jurisdiction’s services include carpentry, 

construction, custodial, electrical, elevator, heating and air 

conditioning, insulation, labor, masonry, painting, plumbing and 

sheet metal. It supports special events held on the Capitol campus 

(see Figure 8) and manages the CVC’s facility maintenance. The 

jurisdiction supports programs related to occupational safety 

and health, sustainability, recycling and energy management, 

and fire detection and protection management. The jurisdiction 

also manages the Capitol Flag Program, allowing citizens to 

request a flag that has been flown over the U.S. Capitol via their 

congressional offices. For more information: www.aoc.gov/aboutus/organizational-structure/office-chief-operations/capitolbuilding-jurisdiction.

CAPITOL GROUNDS AND ARBORETUM

The Capitol Grounds and Arboretum jurisdiction maintains and 

preserves the historic landscape designed by Frederick Law Olmsted. 

The grounds encompass 286 acres of landscape and infrastructure 

across Capitol Hill, including Union Square, the 13-acre site situated 

between the U.S. Capitol Building’s West Front and the National 

Mall. The grounds are a Level II-accredited arboretum consisting 

of over 4,600 trees and including approximately eight miles of 

roadways, 17 acres of parking lots and 16 miles of sidewalks. The 

jurisdiction provides professional grounds management services, 

such as horticultural activities, vehicle and equipment maintenance, 

sustainable irrigation practices, and masonry restoration, and 

preserves its historically and architecturally significant landscape 

elements and memorials. The jurisdiction also provides snow 

removal and trash collection across the Capitol campus. In addition, 

the jurisdiction supports major events including presidential 

inaugurations, lying in state ceremonies, National Law Enforcement 

Officers Memorial services, and the Capitol Christmas Tree selection 

and display. For more information: www.aoc.gov/about-us/

organizational-structure/office-chief-operations/capitolgrounds-arboretum-jurisdiction.

CAPITOL POWER PLANT

The Capitol Power Plant jurisdiction manages year-round power 

plant operations, providing and distributing steam and chilled water 

to heat and cool the U.S. Capitol Building and 22 other facilities on 

and around the Capitol campus. The jurisdiction also maintains 

the Cogeneration Plant, an administration building and the utility 

tunnel distribution and metering system. The power plant operates 

on a reimbursable basis to noncongressional facilities and procures 

OCTOBER 2020 NOVEMBER 2020 DECEMBER 2020 JANUARY 2021 FEBRUARY 2021 MARCH 2021

FIGURE 8

Timeline of Special Events at the U.S. Capitol Building, Fiscal Year 2021 

O C

TOBER 1, 2020 BEGINNING OF FISCAL 

YEAR

Nov 12

New Member Event 

with Majority Leader 

Steny H. Hoyer

Nov 13

New Member Event with 

Speaker Nancy P. Pelosi

Nov 12

New Member Event 

with Minority Leader 

Kevin O. McCarthy

Dec 2

Annual Capitol 

Christmas Tree Lighting 

Ceremony

Dec 9

Congressional Gold Medal 

Ceremony honoring 

Chinese American 

Veterans of World War II 

(virtual event)

Jan 3

Swearing-In Ceremony 

for the 117th Congress

Jan 6

U.S. Capitol Breached 

and Damaged

Jan 11–13

Provided Support for the 

Debate and Vote for the 

Articles of Impeachment 

in the U.S. House of 

Representatives

Jan 20

59th Presidential 

Inaugural Ceremony

Feb 2–3

Lying in Honor of Officer 

Brian D. Sicknick

Feb 9–13

Provided Support for 

the Impeachment Trial 

and Final Vote in the 

U.S. Senate

Oct 1-Sep 30

Continued Closure of Capitol Campus to the 

Public Due to the COVID-19 Pandemic

Jan 6-May 23

National Guard Troops Deployed 

at the U.S. Capitol
Management’s Discussion and Analysis | SECTION 01 9

FIGURE 9

The Office of the Chief of Operations Organization Chart

 

* Requires legislative change

APRIL 2021 MAY 2021 JUNE 2021 JULY 2021 AUGUST 2021 SEPTEMBER 2021

SEPTEMBER 30, 2021 END OF FISCAL YEAR

Apr 21

Celebration of Life of 

Representative 

Alcee L. Hastings

Apr 28

Presidential Address 

to the Joint Session of 

Congress

Apr 13

Lying in Honor of Officer 

William “Billy” Evans

Oct 1-Sep 30

Continued Closure of Capitol Campus to the 

Public Due to the COVID-19 Pandemic

Jul 30

The Emergency 

Security Supplemental 

Appropriations Act, 2021 

became Public Law
10 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

electricity from commercial suppliers. The jurisdiction is the site of 

the multiphase Refrigeration Plant Revitalization project. For more 

information: www.aoc.gov/about-us/organizational-structure/

office-chief-operations/capitol-power-plant-jurisdiction.

HOUSE OFFICE BUILDINGS

The House Office Buildings jurisdiction is responsible for the 

operation, maintenance and preservation of more than 5 million 

square feet of facility space, including the Cannon, Ford, Longworth, 

O’Neill and Rayburn House Office Buildings, underground garages, 

annexes and subways. The jurisdiction provides oversight for the 

facilities’ daily domestic care, repairs and maintenance, and also 

performs client services, preventive maintenance, building inspector 

surveys, compliance issues abatement, energy savings initiatives 

and safety inspections. The use of office and committee space for 

the Members of the U.S. House of Representatives and the biennial 

office move process for U.S. House Members are also duties of 

this jurisdiction. For more information: www.aoc.gov/about-us/

organizational-structure/office-chief-operations/house-officebuildings-jurisdiction.

LIBRARY BUILDINGS AND GROUNDS

The Library Buildings and Grounds jurisdiction is responsible for the 

life-cycle operation, maintenance, development and stewardship 

of the Library of Congress facilities and surrounding grounds. The 

jurisdiction’s real property assets span 4.4 million square feet of 

space and include: the Jefferson, Adams and Madison Buildings 

on Capitol Hill; the Packard Campus for Audio-Visual Conservation 

in Culpeper, Virginia; the Library Collections Storage Facilities 

on the 100-acre campus at Fort Meade, Maryland; and other 

leased facilities. For more information: www.aoc.gov/about-us/

organizational-structure/office-chief-operations/librarybuildings-grounds-jurisdiction.

SENATE OFFICE BUILDINGS

The Senate Office Buildings jurisdiction oversees the office and 

committee space for the United States Senate. It is responsible for 

the daily care, maintenance, repair and operations of more than 

3 million square feet of facility space, including the Dirksen, Hart 

and Russell Senate Office Buildings, an employee childcare center, a 

congressional page school and dormitory, restaurants and subway 

systems. The jurisdiction also manages leased facilities housing offsite Senate support organizations and coordinates the office move 

process for senators and staff. For more information: www.aoc.

gov/about-us/organizational-structure/office-chief-operations/

senate-office-buildings-jurisdiction.

SUPREME COURT BUILDING AND GROUNDS

The Supreme Court Building and Grounds jurisdiction operates and 

maintains the Supreme Court of the United States and the Thurgood 

Marshall Federal Judiciary Building. The AOC is responsible for the 

structural and mechanical care and maintenance of the Supreme 

Court of the United States and its grounds. The AOC performs these 

responsibilities under the direction of the Marshal of the Supreme 

Court. Appropriations for this purpose are provided to the AOC in 

the federal judiciary branch’s annual appropriation bill. The AOC 

provides care and maintenance, minor construction and capital 

project support in the Marshall Building to the Administrative Office 

of the U.S. Courts on a reimbursable basis. For more information: 

www.aoc.gov/about-us/organizational-structure/office-chiefoperations/supreme-court-buildings-grounds-jurisdiction.

U.S. BOTANIC GARDEN

The U.S. Botanic Garden (USBG) jurisdiction oversees the 

maintenance, operation and construction of all USBG facilities, 

including the Conservatory, the Regional Garden, Pollinator Garden, 

the First Ladies Water Garden, the Rose Garden and the Bartholdi 

Fountain and Gardens. The jurisdiction is also responsible for the 

USBG administration building and a plant production and support 

facility with 34 greenhouse bays, outdoor nurseries and areas for 

storage and maintenance. The USBG is the steward of a diverse 

plant collection and provides educational programs, tours, exhibits 

and youth training. As a leader in plant conservation, the USBG was 

a founder of the Sustainable SITES Initiative (SITES®) to encourage 

sustainable landscaping. The USBG Conservatory was closed to 

the public from March 2020 through the end of FY 2021 due to the 

COVID-19 pandemic. The Architect of the Capitol serves as acting 

director of the USBG and reports on its operations to Congress. 

For more information: www.aoc.gov/about-us/organizationalstructure/office-chief-operations/botanic-garden-jurisdiction or 

www.usbg.gov.

DID YOU KNOW?

While the USBG Conservatory remained closed to 

the public during FY 2021, the outdoor gardens were 

opened to the public in the summer of 2021.

U.S. CAPITOL VISITOR CENTER

The U.S. Capitol Visitor Center (CVC) jurisdiction manages the CVC. 

The facility serves as the main entrance for visitors to the U.S. Capitol 

Building and offers a welcoming and educational atmosphere for 

visitors to learn about the House, Senate and legislative process, 

as well as the history and development of the architecture and 

art of the U.S. Capitol. It provides exhibits, a restaurant, two 

orientation theaters, a large auditorium, two on-site gift shops 

and a new online gift shop that launched in FY 2021. More than 

25 million people from around the world have visited the CVC 

since its opening in 2008. The CVC has been closed to the public 

from March 2020 through the end of FY 2021 due to the COVID-19 

pandemic. Following legislative approval, the Reorganization will 

move the jurisdiction from a direct reporting relationship to the 

Architect of the Capitol to a new relationship with the OCO. For more 

information: www.aoc.gov/about-us/organizational-directory/

capitol-visitor-center-jurisdiction or www.visitthecapitol.gov.
Management’s Discussion and Analysis | SECTION 01 11

Performance Highlights 

Strategic Planning Framework 

The AOC Strategic Plan 2017–2021 provided the agency’s strategic 

priorities and set the direction for resource allocation and 

performance management. The Strategic Plan aligned with the 

guidance contained in OMB Circular A-11, Part 6 and is available at: 

www.aoc.gov/what-we-do/publications.

S T R AT E G I C G OA L S A N D O B J E C T I V E S 

The Strategic Plan framework has been structured around the 

agency’s mission, vision and core values. It contains four strategic 

goals, eight objectives and several key performance indicators (KPI) 

that aid in their measurement.

 Strategic Goal 1: Maintain Awe-Inspiring Facilities addresses 

the agency’s stewardship of the structures and grounds of the 

Capitol campus. This goal ensures visitors to the Capitol campus 

and those who work within its facilities experience the grandeur 

of these historic treasures at their very best.

 Strategic Goal 2: Provide Extraordinary Services addresses 

the support the AOC provides to the prestigious occupants of 

our facilities in their critical mission to govern our country. In 

addition, the goal addresses service to visitors from across the 

nation and around the world in discovering and celebrating the 

symbolic core of American democracy on Capitol Hill.

 Strategic Goal 3: Foster an Innovative and Empowered 

Workforce supports the AOC’s efforts to empower the agency 

staff members to exercise greater responsibility for their 

The AOC’s Strategic Plan laid out the agency’s strategic goals and set the direction for performance management for the FY 2017–FY 2021 period.

TABLE 4

Strategic Goals and Objectives

STRATEGIC GOALS STRATEGIC OBJECTIVES

1. Maintain Awe-Inspiring Facilities

1. Reliably deliver high-quality capital projects

2. Preserve, maintain and operate facilities and cultural and natural resources at the highest quality levels

2. Provide Extraordinary Services 1. Demonstrate our expertise while exhibiting responsiveness, ownership and courtesy to all internal 

and external customers

3. Foster an Innovative and 

Empowered Workforce

1. Strengthen employee performance through improved development and accountability practices

2. Cultivate high employee engagement in the workplace

3. Provide for the security and safety of every AOC employee

4. Operate as One Team, Dedicated 

to One Mission

1. Support the success of others by prioritizing the AOC’s mission, values, vision and goals ahead of the interests of 

any individual, work group or business unit

2. Strategically plan, allocate and manage resources throughout the AOC

PROGRAMORIENTED 

GOALS

LONG-TERM

SUPPORT GOALS
12 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

performance and proactively apply informed judgments and 

innovations in identifying results-oriented solutions.

 Strategic Goal 4: Operate as One Team, Dedicated to One 

Mission supports and encourages collaboration among the 

AOC’s wide-ranging functions, jurisdictions and organizations.

The first two goals, Maintain Awe-Inspiring Facilities and Provide 

Extraordinary Services, are externally focused, guiding facilities 

maintenance, operational support, project delivery, preservation, 

and client and visitor services. The next two goals, Foster an 

Innovative and Empowered Workforce and Operate as One Team, 

Dedicated to One Mission, are internally focused, concentrating on 

promoting employee engagement and accountability, as well as a 

culture of innovation, collaboration and safety. Table 4 identifies the 

relationship between the AOC’s four strategic goals and the eight 

supporting strategic objectives. 

In FY 2021, the AOC developed an updated enterprise-level 

Performance Plan that defines the strategic initiatives and 

boosts the agency’s ability to accomplish its strategic goals and 

objectives. The plan includes seven Architect’s Strategic Initiatives 

(ASI) that will guide the AOC in achieving its strategic goals, lay 

the foundation for the agency’s long-term success and provide 

a governance framework to support effective management. The 

plan also identifies and streamlines the KPIs that assess progress 

toward the performance outcomes in the Strategic Plan. The FY 2021 

Performance Plan includes 19 KPIs. Indicators measure performance 

against an established target, as required under the GPRA 

Modernization Act of 2010 (GPRAMA). Up to five years of historic 

data are provided for KPI trend comparison, when available. Table 5 

shows the number of objectives and KPIs associated with each goal.

In FY 2021, the AOC met the performance targets for 11 KPIs, and 

did not meet the target for eight KPIs (see Figure 10). As part 

of ongoing efforts to strengthen and improve its performance 

management structure, the AOC continued to evaluate changes to 

its KPIs and, as a result, no KPIs were aligned to the Operate as One 

Team, Dedicated to One Mission strategic goal this fiscal year. For 

more detail, see Section 02: Performance Information.

DATA VALIDATION AND VERIFICATION

In accordance with the GPRAMA, the AOC strives to ensure 

the completeness, reliability and quality of all performance 

measurement data. The agency has the mechanisms in place 

to validate and verify the accuracy of information collected and 

reported. Validation and verification support the accuracy and 

reliability of performance data, reduce the risk of inaccurate data 

and provide a sufficient level of confidence that the information 

is credible. These efforts include internal agency assessments 

that address standards and procedures, data entry and transfer, 

data integrity, data quality, data limitations and oversight. The 

assessments often occur in the development stages of dashboards 

and management reports. Subject matter experts and agency 

executives conduct regular performance data meetings that provide 

an opportunity to put information in the hands of many agency 

managers. This shared knowledge allows the AOC to assess the 

quality and reliability of its performance information and identify 

possible data discrepancies.

HIGH-LEVEL KEY PERFORMANCE INDICATORS

The high-level KPIs are a subset of those monitored under the 

Strategic Plan and represent the agency’s most critical performance 

indicators. The indicators, displayed in Tables 6 through 9, are 

organized by strategic goal. The performance summary includes 

narrative highlights that describe major program and project results 

for each strategic goal. 

Section 02: Performance Information provides a complete 

discussion of the AOC’s data validation and verification processes, as 

well as performance results.

TABLE 5

Strategic Objectives and Key Performance Indicators 

by Strategic Goal

STRATEGIC GOAL STRATEGIC OBJECTIVES KEY PERFORMANCE 

INDICATORS

Maintain Awe-Inspiring 

Facilities 2 11

Provide Extraordinary 

Services 1 2

Foster an Innovative and 

Empowered Workforce 3 6

Operate as One Team, 

Dedicated to One Mission 2 0

Total 8 19

FIGURE 10

Key Performance Indicator Results
Management’s Discussion and Analysis | SECTION 01 13

STRATEGIC GOAL 1

Maintain Awe-Inspiring Facilities 

The AOC’s strategic goal to Maintain Awe-Inspiring Facilities focuses 

the agency on providing outstanding stewardship for the assets 

entrusted to its care, as well as ensuring a safe, healthy and secure 

environment through the efficient use of resources, integrated 

facility planning and sustainable practices. This strategic goal 

addresses the AOC’s core responsibilities for facilities maintenance, 

stewardship and sustainability. As shown in Table 6, there are 

two strategic objectives and two high-level KPIs associated with 

this strategic goal. These high-level KPIs track the sustainability 

and facility conditions of major buildings on the Capitol campus. 

The agency met its targeted performance for one high-level 

KPI and did not meet the target for the other. For more detail 

on the indicator results and strategy outcomes, see Section 02: 

Performance Information. 

In addition, the following FY 2021 accomplishments align with this 

strategic goal:

Capital Project Delivery

Cannon Renewal: The AOC completed Phase 2 and began initial 

work on Phase 3 of the Cannon House Office Building renewal. The 

AOC began demolition and abatement of the Phase 3 Member 

suites, basement and fifth floor, and upgraded all associated HVAC, 

plumbing, electrical, fire protection, telecommunications and security 

systems. The events of January 6, 2021, impacted the beginning of 

Phase 3. However, the AOC worked with the USCP and the House 

Chief Administrative Officer to integrate a master schedule that 

maximized efficiencies and mitigated the effects of further delays. 

See Infographic: Cannon Renewal Phases and Capitol Highlights: 

Cannon Renewal.

CVC Exhibition Hall Update: The AOC continued the major redesign 

and renovation to Exhibition Hall, the CVC’s 16,500 square-foot 

exhibition space, which will update interpretive material, gallery 

design, programming and communications. The agency completed 

the installation of the new floor, ceiling, walls and lighting. Exhibition 

content and design was also finalized for four of the eight galleries, 

and preparations began for the installation of gallery display and 

exhibit components. Exhibition Hall is projected to reopen in FY 2022. 

See Capitol Highlights: Exhibition Hall Renovation.

Book Storage Module 6 Continued: The AOC continued 

construction of its first double-wide book storage module for the 

Library of Congress. The 35,000 square-foot construction project 

will provide approximately 25,000 square feet of permanent 

storage at Module 6, and includes site work and preparation 

for the forthcoming Module 7 construction and sustainability 

enhancements. This fiscal year, most of the facility’s foundation, 

structural walls, systems and plant equipment was installed and 

commissioned. The facility is required to store the Library’s growing 

collection of published and unpublished materials. 

TABLE 6

Maintain Awe-Inspiring Facilities Strategic Goal “At a Glance”

STRATEGIC OBJECTIVES 1. Reliably deliver high-quality capital projects

2. Preserve, maintain and operate facilities, cultural and natural resources at the highest quality levels

High-Level Key Performance Indicator FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 

Target

FY 2021 

Results

Reduce Cumulative Energy Intensity Use. 

Reduce energy usage across the Capitol campus. 

34.1%

Met

35.0%

Met

34.0%

Not Met

47.9%

Met

50.8%

Met ≥42.0% 48.8%Met

Facility Condition Index (FCI). Reduce the percent 

of the AOC major buildings in poor or fair condition.

48.1%

No Target Set

48.1%

No Target Set

40.7%

No Target Set

44.4%

No Target Set

48.1%

Not Met ≤48.1% 55.6%Not Met

A view of the restored Rotunda inside the Cannon House Office Building. 

The Maintain Awe-Inspiring Facilities strategic goal addresses the AOC’s 

core facilities operations, stewardship, capital project delivery and 

sustainability programs.
14 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Russell Exterior Envelope Project: The AOC completed the second 

sequence of a multiphase project to preserve the exterior stonework 

of the historic Russell Senate Office Building, as well as restore its 

wood-framed windows and glazed doors. The second sequence 

of the project focused on the south and east sides of the building, 

with the area directly facing the U.S. Capitol on Constitution Avenue 

completed shortly before the 59th Presidential Inauguration in 

January 2021. The current sequence of this project is focused on 

stone cleaning and window restoration on the west side of the 

building and the building rotunda.

Senate Underground Garage and Landscape Restoration: 

The AOC neared completion of the multiyear project to restore the 

Senate Underground Garage. The project includes rehabilitating 

the garage, central fountain, reflecting pool, planters and the 

surrounding pavement; restoring the area’s exterior stonework 

and plaza walkway; repairing the 20-foot underground garage 

south wall; and waterproofing and repairing the fountains and 

upper plaza and the pedestrian tunnel under Delaware Avenue. 

See Capitol Highlights: Senate Underground Garage and 

Landscape Restoration.

Preservation Projects and Initiatives

Capitol Exterior Preservation – Stone and Metal: The AOC 

awarded the contract and began work on Phase 3 of this project, 

which will preserve and restore the facility’s deteriorating 

sandstone and marble façade and architectural metals. This fiscal 

year, the AOC mobilized construction efforts and began the 

fencing installation at the west terrace to secure the construction 

zone. To maximize cost efficiencies, the AOC used the construction 

compound and security features from the 59th Presidential 

Inauguration, accelerating the stone preservation project’s 

schedule by almost four months. Phase 3 will focus on cleaning, 

pointing, repairing and replacing stone on the West Front, 

repairing the metal railings, installing bird deterrent and 

reinstalling lightning protection. See Appendix D for a summary 

of the AOC’s major stone repair and preservation projects.

Olmsted Landscape Preservation: The AOC embarked on the 

restoration and preservation of key landscape design features on the 

U.S. Capitol Grounds, originally designed by Frederick Law Olmsted 

between 1874 and 1892. As part of this project, the AOC completed 

a thorough landscape restoration of the south terrace wall of the 

U.S. Capitol. The agency also completed significant restoration to the 

Olmsted lanterns on the U.S. Capitol’s west terrace. The project returned 

the lanterns to their original 19th-century appearance, while upgrading 

them to meet current standards of safety and energy efficiency. See 

Capitol Highlights: Restoration of the Olmsted Lanterns. 

The AOC produced a video in celebration of the 200th anniversary of 

Frederick Law Olmsted’s birth and his contributions to the U.S. Capitol 

Grounds. Watch it here

Supreme Court of the United States Terrace Balustrades 

Restoration Project: The AOC completed the Supreme Court of the 

United States Terrace Balustrades Restoration Project, which cleaned, 

restored and consolidated the stone and preserved the bronze on 

the exterior terrace balustrades. The project was recognized as a 

“Star Project” by the OCE for outstanding workmanship, consistently 

staying ahead of schedule and maintaining a stellar safety record. 

Facilities Maintenance

Utility Tunnel Repairs and Waterproofing: All buildings on 

the Capitol campus receive utility services through a network 

of underground tunnels that are managed by the AOC. Due to 

age, several tunnels have begun deteriorating and experiencing 

groundwater infiltration. The AOC completed a pilot project to 

waterproof one tunnel using an innovative “curtain grouting” 

approach. The agency also completed a detailed study of various 

INFOGRAPHIC

Cannon Renewal Phases
Management’s Discussion and Analysis | SECTION 01 15

crystalline waterproofing methods and presented the results at an 

international trade association conference.

Refrigeration Plant Revitalization: The AOC substantially 

completed Phase 4 construction of the Refrigeration Plant 

Revitalization at the Capitol Power Plant, which included the repair 

of two cooling towers, the installation of a new 480 volt electrical 

switchgear and the initiation of work to replace four secondary 

chilled water pump variable frequency drives. When complete, the 

renovation and restoration of the aging equipment will increase 

energy savings by improving the chilled water production for the 

Capitol campus and the reliability of the Capitol Power Plant’s 

electrical systems. The AOC also began planning Phase 5, which 

primarily involves the replacement of deteriorating piping systems.

Facilities Operations 

(Including Sustainability and Energy)

Thurgood Marshall Federal Judiciary Building Automation 

System (BASNet) Renovation: The AOC completed the building’s 

BASNet renovation on schedule and under budget. It was identified 

as a “Star Project” by the OCE for exemplifying the best application 

of project management relating to overall coordination and 

collaboration with the general contractor. Completion of this project 

optimizes facility efficiencies for electricity, steam and chilled water 

usage. The building’s overall energy performance this year improved 

by 21 percent compared with the previous fiscal year.

Utility Master Plan: The AOC is developing a comprehensive Utility 

Master Plan for the Capitol campus, which will assess the condition 

of utility equipment and provide a road map for future energy 

needs. While development was delayed by COVID-19, critical work 

was completed in FY 2021, including the detailed screening review 

of 30 different types of technologies and utility configurations 

and the selection of six options for full development. See Capitol 

Highlights: Utility Master Plan for Sustainable Energy.

Rayburn House Office Building Energy Efficiency Improvements: 

To advance energy efficiency initiatives in the Rayburn Building, the 

AOC converted fluorescent hallway lighting to LEDs and inspected 

air handling units to identify opportunities for further energy 

conservation. The new LED lighting is brighter, longer lasting and 

more energy efficient than the previous fluorescent lighting. The 

reduced manpower to replace lamps in the future can be reallocated 

to address other deferred maintenance items. The air handling 

unit inspections identified nearly 100 pieces of faulty or damaged 

equipment that are now targeted for repair.

Library of Congress Energy Savings Performance Contract:

The AOC has initiated an energy savings performance contract 

(ESPC) that will achieve an estimated $89 million in cost savings 

through energy, water and infrastructure improvements across the 

Library of Congress facilities. Highlights of the past year’s progress 

included converting fluorescent lighting to LEDs, updating control 

systems, upgrading thermostats, converting the John Adams 

Building air handler units from pneumatic to direct digital controls, 

installing low-flow water fixtures, installing a new gas-fired hot 

water boiler at the St. Cecilia’s Special Services Facilities Center, 

and irrigation and fountain improvements. In summer 2021, ESPC 

activities expanded to include the Library’s off-site Fort Meade and 

Packard facilities.

CANNON RENEWAL

The Cannon House Office Building, the oldest congressional 

building other than the U.S. Capitol Building, is undergoing a 

complete renewal. The century-old facility had not received 

a comprehensive building system upgrade since the 1930s 

and was suffering from operational and structural issues that 

jeopardized its long-term functionality and safety. The Cannon 

Renewal began in FY 2015 with a projected 10-year timeline for 

completion and five distinct phases aligned to fall between the 

two-year congressional cycles. The project phases are designed 

to minimize disturbances to U.S. House Members and their staff. 

In FY 2021, the AOC completed Phase 2 of the project on the 

Independence Avenue side of the building. This phase impacted 

29 Member suites, one hearing room, one building entrance 

and also included the restoration of 34 historic Doric columns. 

The AOC also began Phase 3 on the First Street side, including 

demolition and abatement of Member suites and upgrades 

for the associated HVAC, plumbing, electrical, fire protection, 

telecommunications and security systems, along with ongoing 

work to the basement and the new fifth floor. Following the 

events of January 6, 2021, the AOC worked with the USCP on 

an integrated master schedule to maximize efficiencies and 

mitigate the cost and schedule impacts. The AOC is partnering 

with the U.S. Government Accountability Office to incorporate 

strategies and lessons learned from similar projects.

When complete, the Cannon Renewal will provide modern 

amenities, upgraded systems and an effective workplace to 

support congressional operations, while exemplifying the AOC’s 

commitment to sustainably preserving our nation’s treasures.

www.aoc.gov/what-we-do/projects/cannon-renewal

CAPITOL

HIGHLIGHTS
16 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

DID YOU KNOW?

The AOC has green roofs installed atop the Dirksen 

Senate Office Building, the O’Neill House Office 

Building and the U.S. Botanic Garden Conservatory. 

The green roof projects contribute to the agency’s 

stormwater management.

U.S. Botanic Garden Production Facility Renewal: The AOC 

nearly completed the program of requirements for the USBG 

Production Facility Renewal, an ambitious project to replace the 

greenhouses, upgrade the infrastructure including utilities and 

stormwater management, add a quarantine greenhouse and create 

an education center and an urban agriculture demonstration farm. 

Over the past year, the agency participated in weekly workshops 

with architectural and engineering consultants to develop 

recommendations for this new, state-of-the-art, sustainable facility. 

In FY 2022, the program of requirements will be finalized and a 

design firm will be selected to begin a multiphase design process.

The AOC is responsible for facilities operations across the Capitol campus. 

At the U.S. Botanic Garden, an AOC employee applies an anti-slip coating 

to a bridge in the Conservatory.
Management’s Discussion and Analysis | SECTION 01 17

STRATEGIC GOAL 2

Provide Extraordinary Services 

The AOC’s strategic goal to Provide Extraordinary Services is 

intended to ensure the proactive delivery of professional and 

integrated services that exceed client and visitor expectations. This 

goal addresses the AOC’s core function as a support organization 

to Congress and the Supreme Court, as well as a provider of visitor 

services for the public and internal support services for the agency’s 

business units. As seen in Table 7, there is one strategic objective 

and two high-level KPIs associated with this goal. In FY 2021, the 

agency reached its targeted performance for one high-level KPI and 

did not meet the target for the other. For an in-depth discussion 

of the indicator results and strategy outcomes, see Section 02: 

Performance Information.

In addition, the following FY 2021 accomplishments align with this 

strategic goal:

Visitor Services

Expanded Online Learning: The AOC expanded online learning 

opportunities at the CVC and the USBG. USBG program highlights 

included online Q&A sessions with Horticulture team members, 

panel discussions with plant scientists, a local chef series, and topical 

lectures by nationally recognized authors, speakers and experts. 

The USBG’s educators also responded to the needs of teachers and 

students, particularly in Title 1 schools, developing a new “virtual 

field trip” for grades 3-5. Through online programming, the USBG 

connected with people in all 50 states and 24 countries. The CVC 

offered new live programs for students, video tours, web-based 

content for elementary and high school students and its first-ever 

online teacher workshop. These programs included online student 

programming that can be tailored to specific grade levels, as well as 

additional educational content. To further broaden the reach and 

accessibility of online resources and programs, the CVC established 

new partnerships with PBS LearningMedia, the Civics Renewal 

Network and the U.S. Capitol Historical Society.

A nine-minute virtual tour of the U.S. Capitol Building is available for 

online visitors. Watch it here.

The AOC supported multiple special events at the U.S. Capitol Building 

in FY 2021, including the lying in honor ceremony for U.S. Capitol Police 

Officer William F. “Billy” Evans on April 13, 2021. A view of the setup in the 

U.S. Capitol Rotunda is seen from its Visitors’ Gallery.

TABLE 7

Provide Extraordinary Services Strategic Goal “At a Glance”

STRATEGIC OBJECTIVES 1. Demonstrate our expertise while exhibiting responsiveness, ownership and courtesy to all internal 

and external customers

High-Level Key Performance Indicator FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 

Target

FY 2021 

Results

Customer Satisfaction with Projects. Maintain high 

customer satisfaction with projects.

95.4%

Met

92.4%

Met

94.7%

Met

95.9%

Met

95.0%

Met ≥ 90.0% 94.9%Met

Tenant Survey. Measure how well the AOC provides 

services to its facility occupants. N/A N/A N/A N/A N/A ≥ 90.0% 79.0%Not Met
18 ARCHITECT of the CAPITOL

Online Gift Shop: The CVC launched an online gift shop to 

improve public accessibility to Capitol-related merchandise, such as 

commemorative books, office décor, educational products, jewelry and 

apparel. All products sold through the gift shop are made-in-the-USA. 

To explore the online gift shop, visit https://shop.visitthecapitol.gov.

Library of Congress Visitor Experience Master Plan: The 

AOC continued to work closely with the Library of Congress to 

implement a new Visitor Experience Master Plan. The AOC received 

the final schematic design drawings for the Thomas Jefferson 

Building’s welcome and orientation components and awarded 

the design for The Cultures and History of the Americas: The Jay 

I. Kislak Collection. The complexities between exhibit design and 

building impact continue to be discussed by the development 

team, and multiple designs were under review at fiscal year-end. 

See Capitol Highlights: Transforming the Library of Congress 

Visitor Experience.

Client Services

Special Events: The AOC supported multiple special and highprofile events in FY 2021, all of which were complicated by 

pandemic-related safety protocols. Prominent event support at 

the U.S. Capitol Building included a Joint Session of Congress, 

lying in honor ceremonies for USCP officers Brian D. Sicknick 

and William “Billy” Evans, a celebration of life ceremony for the 

Honorable Alcee L. Hastings, and the planning and coordination 

of the presidential impeachment proceedings in January 2021. 

The AOC also supported New Member Orientation and numerous 

congressional hearings, meetings and caucus events at the 

CVC, nomination hearings for over 100 White House Cabinet 

positions and a Supreme Court justice, a luncheon attended by 

President Trump, and, immediately following the 59th Presidential 

Inauguration, a luncheon for President Biden, Vice President Harris 

and special inaugural guests. See Figure 8: Timeline of Events at 

the U.S. Capitol Building, Fiscal Year 2021 on Pages 8 and 9. 

O F F I C E M O V E S F O R T H E 

117TH CONGRESS

Every two years, the AOC is responsible for an important 

behind-the-scenes service — the execution of all Member and 

committee moves and space reassignments associated with 

the congressional biennial elections. The moves take place in 

the U.S. Capitol and the Senate and House office buildings and 

must be orchestrated with care, efficiency and precision.

At the House of Representatives, the November 2020 elections 

resulted in 219 Member moves, including the setup of 62 

freshmen Member suites and 167 storage rooms. For these 

services, the AOC developed architectural layouts; removed, 

relocated and installed partitions; painted offices; and updated 

electric, data and telecommunications infrastructure. The AOC’s 

planning efforts with congressional leadership prioritized 

COVID-19 safety, and certain activities such as the lottery 

suite selection were conducted virtually. In collaboration 

with stakeholders, the AOC completed the House moves in a 

condensed timeframe, between December 1 and December 31, 

2020, resulting in a customer satisfaction rate of 86 percent.

At the Senate, the AOC completed moves for 22 Senate offices 

(including 10 freshman senators), 13 committees and 20 storage 

rooms. The AOC extended the moves schedule to accommodate 

social distancing and pandemic-related concerns and 

conducted virtual client design and staff meetings to optimize 

communications while ensuring safety. The AOC also used the 

moves as an opportunity to complete deferred maintenance and 

infrastructure upgrades in various areas of the Senate buildings.

The AOC completed the election-year moves for the 117th 

Congress in a timely manner while prioritizing safety. These 

efforts ensured the agency’s compliance with safety protocols 

and avoided overcrowding in congressional offices and 

corridors, while maintaining a focus on service excellence, 

craftsmanship and the optimization of staff resources.

CAPITOL

HIGHLIGHTS

The U.S. Capitol Visitor Center developed new material to highlight Native 

American representation at the U.S. Capitol.
Management’s Discussion and Analysis | SECTION 01 19

January 6 Cleanup: On the evening of January 6, just a few hours 

after the U.S. Capitol premises had been cleared of crowds, AOC staff 

began cleaning up the U.S. Capitol Building and returning the House 

and Senate Chambers to a usable state. Over the following months, 

the AOC assessed damage to historic assets. Through the Capitol 

window replacement project, the AOC replaced 56 broken windows 

and repaired the surrounding areas, which included identifying 

and abating hazardous elements, installing new temporary glass, 

and repainting window frames and damaged walls. The projects 

were performed in coordination with the AOC Curator and Historic 

Preservation Officer to ensure all modifications maintained 

their historic integrity. The AOC Curator Division documented 

all damaged building elements and heritage assets and hired 

conservators to begin treatment of impacted artworks. See Capitol 

Highlights: January 6, 2021, at the U.S. Capitol.

59th Presidential Inauguration: Every four years, the AOC supports 

the presidential inauguration. This fiscal year, the support included 

construction of and repairs to the inaugural stands, planning 

coordination for the ceremony with the Joint Congressional 

Committee on Inaugural Ceremonies (JCCIC), and event support. 

This year’s inauguration required additional planning to address 

pandemic-related safety risks, including modifications to seating 

arrangements and event space orientation to meet social distancing 

guidelines. On Inauguration Day, the AOC provided wayfinding 

and shuttle services for Members of Congress and their invited 

guests and supplied commentary for the JCCIC live event feed. See 

Infographic: 59th Presidential Inauguration. 

Comprehensive Security Assessment: On behalf of the Capitol 

Police Board, the AOC began conducting a comprehensive 

physical security assessment of the Capitol campus and key offsite facilities and developing a risk matrix and physical security 

assessment report. These efforts will allow the AOC to develop 

recommendations for long-term security improvements for the 

facilities and grounds under its care.

DID YOU KNOW?

The AOC is responsible for creating a photographic 

record of the presidential inauguration. Leading up 

to January 20, 2021, AOC photographers developed 

plans for a range of complex safety and security 

scenarios and deployed four times the usual number 

of remote cameras to document 

all aspects of the event.

Congressional Office Moves: The AOC provided a successful 

transition for the 117th Congress, completing moves for 219 

House offices, 22 Senate offices and 13 Senate committees. The 

pandemic forced the AOC to accommodate social distancing and 

other pandemic-related concerns — reconsidering strategies in 

planning, scheduling, staffing, safety protocols, work products and 

technology — while maintaining a focus on service excellence and 

craftsmanship. The agency also used the moves as an opportunity to 

complete deferred maintenance on equipment and perform system 

infrastructure upgrades. The AOC completed the election-year moves 

for the House on time and reconfigured the Senate moves schedule 

to prioritize safety and to complete all moves by late spring 2021. See 

Capitol Highlights: Office Moves for the 117th Congress.

Special Events Management System: The AOC implemented a 

new reservation system to improve the functionality for the booking 

of meeting spaces and catering options at the CVC. The system 

provides better tracking and management of reservation requests 

and includes capabilities to request multiple rooms in a single 

reservation, find Members or other authorized officials through 

a responsive search function, choose room setup options and 

electronically sign documents. It also improves the management 

of reservation requests by automatically freeing up rooms on the 

calendar when a cancellation is received, linking catering needs to 

relevant events, auto-generating reminders for reservation holders, 

and providing timely and accurate reporting. 

COVID-19 Prevention Measures: The AOC deployed numerous 

COVID-19 preventative measures based on guidance from the 

OAP, the Centers for Disease Control and Prevention (CDC) 

and the Food and Drug Administration. To conserve resources 

and keep employees safe, the AOC continued to maximize 

telework throughout the fiscal year, while developing rotating, 

low-occupancy schedules for those with responsibilities that 

necessitated on-site work. The agency provided personal protective 

equipment, including masks, sanitizer, gloves and antibacterial 

wipes, for the entire Capitol campus community. The AOC installed 

protective plexiglass screens and converted numerous hearing 

rooms and conference spaces — notably in the Senate and House 

office buildings and the CVC — to align with social distancing 

recommendations and both in-person and virtual meeting 

requirements. The AOC provided enhanced cleaning services 

throughout the pandemic and coordinated specialized cleaning 

for spaces when identified by the OAP.

An AOC employee helps during an emergency training exercise.
20 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

INFOGRAPHIC

59th Presidential Inauguration

 

 

Internal Customer Services

Employee Assistance Programs: The AOC strives to support the 

emotional and physical well-being of all employees and ensure 

them a safe, secure and caring work environment. Following the 

events of January 6, 2021, the AOC offered free and confidential 

emotional support services to all employees through the Employee 

Assistance Program (EAP). The EAP provides access to trained staff 

counselors, including a 24/7 telephone counseling support service 

delivered by qualified behavioral health professionals. Employees 

have access to the House Wellness Center and the House Office of 

Employee Assistance, which include a variety of resources to address 

emotional support needs. The AOC also hosted a virtual “Office 

Hours” employee session, providing a venue for sharing questions 

with the EAP Manager and the AOC’s Ombuds. 

Quarterly Financial Review: To improve the AOC’s obligation 

management controls, the OCFO continued implementation of 

its web-based, quarterly financial review application, which was 

developed in FY 2020. This innovative process provides the agency’s 

jurisdictions with greater capabilities to manage unliquidated 

obligations and ensure maximum return on investment of resources. 
Management’s Discussion and Analysis | SECTION 01 21

STRATEGIC GOAL 3

Foster an Innovative and Empowered Workforce 

The AOC’s strategic goal to Foster an Innovative and Empowered 

Workforce is intended to cultivate an organizational culture that 

attracts, develops and retains exceptional employees. It is also 

intended to encourage innovation among its personnel and advance 

inclusive, staff-oriented programs and processes to accomplish 

the agency’s mission. This goal encourages the organization to 

embrace change through accountability, outstanding leadership 

and continuous improvement. As seen in Table 8, there are three 

strategic objectives and two high-level KPIs associated with this 

goal. The agency reached its targeted performance for one highlevel KPI and did not meet the other. For an in-depth discussion of 

the indicator results, see Section 02: Performance Information.

In addition, the following FY 2021 accomplishments align with this 

strategic goal:

Maximizing Telework and Workplace Flexibilities: The COVID-19 

pandemic required the AOC to radically alter workforce schedules 

to ensure employee safety. A combination of alternative work 

schedules, smaller shifts of on-site employees and a maximum 

telework posture have allowed the AOC to reduce the risk of 

employee exposure to COVID-19 in the workplace while ensuring 

mission accomplishment. Use of an alternate control room and a 

safety pod strategy allowed the Capitol Power Plant to have 24-hour 

staffing that ensured both continuity of operations and employee 

safety. Similarly, the AOC divided trade shop staff into smaller teams 

that alternated weekly on-site schedules. As part of the agency’s 

return-to-work strategy, the agency began to update its telework 

policy and made permanent some of the workplace flexibilities that 

were successfully implemented during the pandemic.

Enhanced Training: The development of in-house training 

capabilities allows the AOC to tailor courses to the specific needs 

of the agency while maximizing time and cost efficiencies in the 

long-term. This fiscal year, the AOC implemented a new learning 

management system at the Capitol Power Plant, which includes 

online employee training modules for industrial power plant 

operations and provides a platform for the development and 

creation of further in-house training programs. The AOC also 

implemented a new chemical treatment training program that 

includes hands-on training for rotating plant operations shifts. 

The training has resulted in improved employee awareness and 

improved chemical program metrics. The AOC also developed 

an online integrated pest management training program, which 

provides gardeners the opportunity to learn about landscape 

pest management and prepares them for exams required by the 

District of Columbia Department of Energy and Environment (see 

Capitol Highlights: New Pesticide Recertification Program). The 

AOC is also developing a full suite of safety-related trainings with 

help of a new safety training specialist. This task was undertaken 

The AOC requires teams with diverse specialties and skill sets to meet 

its mission. Shown here, an AOC electrician installs speakers in the 

U.S. Capitol Building Rotunda to support the lying in honor of Officer 

William F. “Billy” Evans.

TABLE 8

Foster an Innovative and Empowered Workforce Strategic Goal “At a Glance”

STRATEGIC OBJECTIVES

1. Strengthen employee performance through improved development and accountability practices

2. Cultivate high employee engagement in the workplace

3. Provide for the security and safety of every AOC employee

High-Level Key Performance Indicator FY 2016 FY 2017 FY 2018 FY 2019 FY 2020 FY 2021 

Target

FY 2021 

Results

External Safety Inspection Findings. Reduce 

the safety findings identified by the Office of 

Congressional Workplace Rights. 

572

No Target Set

1,003

No Target Set

1,219

No Target Set

1,805

No Target Set

1,492

Not Met

<1,247

(average of 

the previous 

six years)

2,050

Not Met

Injuries and Illnesses Rate. Reduce the annual 

injuries and illnesses rate. 

3.14%

Met

2.37%

Met

2.33%

Met

2.23%

Met

1.67%

Met

<1.67%

(the previous 

year’s rate)

1.62%

Met
22 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

after the Federal Occupational Health agency stopped providing 

training. These in-house capabilities provide AOC employees with 

the skills and knowledge to perform their work safely and meet the 

agency’s mission. 

Strategic Partnerships: The AOC prioritizes strong partnerships with 

other organizations that enhance the agency’s ability to achieve its 

mission, engage with professional communities and shape successful 

cultures of safety, efficiency, conservation and empowerment. This 

fiscal year, the AOC became an official member of the International 

Network of Parliamentary Properties. This membership allows the 

AOC opportunities to exchange knowledge and share expertise 

among other organizations responsible for preservation and facility 

management of historic parliamentary properties. For the second 

consecutive year, the USBG collaborated with the American Public 

Gardens Association on an Urban Agriculture Resilience Program to 

support urban agriculture, community gardening and educational 

programs that address food security challenges exacerbated by the 

COVID-19 pandemic. At the local level, the AOC partnered with The 

Catholic University of America on a career development and training 

program for air conditioning mechanics. Through these partnerships, 

the AOC builds collaborative knowledge-sharing and capacitybuilding networks.

Enterprise Risk Management: The AOC conducted an enterprise 

risk management (ERM) survey to assist in identifying and 

prioritizing agency risks. The survey results were provided to the 

AOC’s newly established Risk and Control Working Group and will be 

considered as potential enterprise-level risks. The working group will 

prioritize the results and refresh the agency’s risk profile. In addition, 

the AOC participated in the OMB’s pilot for validating the federal 

ERM Maturity Model.

Technology Infrastructure Improvements: The COVID-19 

pandemic precipitated a number of technology infrastructure 

improvements, the most significant of which was the expansion 

of mobile technology and laptops for employees. This expansion 

facilitated increased teleworking productivity and improved 

employees’ efficiency in completing tasks during on-site work 

throughout the Capitol campus. Mobile applications allow AOC 

staff to process work orders and track critical work while not at their 

desks. Inventory functionality on the mobile phones allows staff to 

access equipment information directly from the AOC’s work order 

system, ensuring that equipment repairs are assigned to the correct 

work orders and allowing technicians to mark equipment as outof-service. A report generator was also created to track equipment 

availability. While many of these technology improvements were 

implemented to directly address the challenges of a minimized 

on-site workforce due to COVID-19, they will provide far-reaching 

and long-term enhancements to the AOC’s efficiency in meeting 

its mission.
Management’s Discussion and Analysis | SECTION 01 23

STRATEGIC GOAL 4

Operate as One Team, Dedicated to One Mission 

The AOC’s strategic goal to Operate as One Team, Dedicated to One 

Mission promotes a culture of learning, collaboration and teamwork 

to enhance the agency’s overall effectiveness. Agency cooperation 

allows the AOC to simultaneously reduce costs and improve 

efficiency. As seen in Table 9, there are two strategic objectives and 

no KPIs associated with the goal this fiscal year. 

In addition, the following FY 2021 accomplishments align with this 

strategic goal:

Energy Conservation: The AOC’s Energy Manager Working Group, 

composed of representatives from the AOC’s jurisdictions, the OCE 

and other management support, continued its work for an 11th 

consecutive year to ensure the agency achieves energy conservation 

targets. The AOC is currently creating its Utility Master Plan with 

a focus on supporting a number of long-term goals. The Utility 

Master Plan will provide valuable input to Vision 2100 Master and 

Strategic Plans, helping to validate the feasibility of meeting longrange energy conservation and sustainability goals. See Capitol 

Highlights: Utility Master Plan for Sustainable Energy.

Cybersecurity Improvements: The AOC further improved the 

cybersecurity posture of the Capitol Power Plant’s industrial control 

systems. Accomplishments include the development of a new 

security policy and contingency plan and the implementation of 

recommendations from an AOC cybersecurity evaluation.

Grounds Care Management: The AOC’s Capitol Grounds and 

Arboretum jurisdiction applied professional grounds care best 

management practices outlined by nationally recognized grounds 

management programs. These standard practices and service levels 

are being implemented through the initiation of an agencywide 

Grounds Management Community of Practice process. This process 

will yield a consistent message and level of service expectations in 

the AOC’s grounds care programs. 

Agency Cross-Functional Teams: This fiscal year, as part of the 

agency Reorganization and to focus on specific challenges facing the 

agency, the AOC established cross-functional teams. The objectives 

of the teams included developing the initiatives as well as planning 

for the post-pandemic return to work, Minor Construction spend 

plan initiative, Line Item Construction Program (LICP) projects, space 

management and others. These teams allow the AOC to capitalize on 

the experience and expertise of both the operational jurisdictions as 

well as the support offices to develop actionable plans.

An AOC upholstery crew installs the bunting for the January 20, 

2021 inauguration. The AOC’s strategic goal to Operate as One Team, 

Dedicated to One Mission emphasizes the importance of teamwork 

and collaboration.

TABLE 9

Operate as One Team, Dedicated to One Mission Strategic Goal “At a Glance”

STRATEGIC OBJECTIVES

1. Support the success of others by prioritizing the AOC’s mission, values, vision and goals ahead of the interests of 

any individual, work group or business unit

2. Strategically plan, allocate and manage resources AOC-wide

High-Level Key Performance Indicator No FY 2021 KPIs aligned with this strategic goal
24 ARCHITECT of the CAPITOL

Architect’s Strategic Initiatives

As seen in Table 10, the agency introduced seven ASI this fiscal 

year to assist the AOC in laying the foundation for its long-term 

success and providing a governance framework to support 

effective management. The progress on these initiatives is 

summarized below. For an in-depth discussion, see Section 02: 

Performance Information. 

TABLE 10

Architect’s Strategic Initiatives “At a Glance”

INITIATIVE SUMMARY OF PROGRESS

Reorganization The Reorganization was administratively completed 

through the establishment of the C-suite structure and the 

documentation of the roles and responsibilities for AOC 

organizations.

AOC University The AOC began researching and benchmarking efforts to 

determine its training and development needs and the best 

approach for workforce education, professional development, 

upskilling and reskilling.

Building Official The Building Official program pilot projects have begun. The 

Building Official program has issued the first building permit 

authorizing construction for a code-compliant design. The 

program has performed building code plan reviews and 

inspections on active projects, focusing on building safety and 

electrical hazards.

Cultural Behaviors 

Transformation

Approximately 500 AOC employees engaged in coaching, 

group sessions and workshops aimed at building a positive 

workplace culture. Additionally, the AOC launched four newly 

defined core values (RISE: Respect, Integrity, Safety, Empower) 

and engaged more than 300 employees virtually in RISE 

training and campaign efforts.

Enterprise Asset 

Management

The AOC began assessing asset management to understand 

how to make the most of EAM. This system will assist the 

agency in developing a road map for preventive maintenance, 

helping buy down its maintenance backlog. The AOC also 

hosted partner workshops with federal agencies to discuss 

asset management programming and systems.

Human Capital 

Strategy

Over 200 employees from across the agency participated 

in employee focus groups and interviews to inform the 

development of the Human Capital Strategy and help the AOC 

enhance its employee experience. This strategy will outline a 

plan for how the AOC hires, trains and retains employees as 

well as promotes career growth.

Vision 2100 Master 

and Strategic Plans

The AOC formed an experienced team of futurists, urban 

planners, organizational development specialists, strategic 

planners and other experts to map out how to approach 

positive change and the future of the agency. This group will 

work with stakeholders to develop an engagement plan that 

will serve as the road map for uncovering challenges that the 

AOC will face as it looks to maintain the Capitol campus over 

the next 80 years.

U T I L I T Y M A S T E R P L A N 

F O R S U S TA I N A B L E 

ENERGY

The AOC’s Capitol Power Plant provides utility services to the 

U.S Capitol and 22 other buildings around the Capitol campus, 

including the Supreme Court of the United States, House and 

Senate office buildings, and Library of Congress facilities. In FY 

2020, the AOC began development of a comprehensive Utility 

Master Plan. This plan will help the AOC provide energy to the 

Capitol campus that is safe, reliable and resilient, minimize 

costs associated with delivering energy, and provide energy 

in a sustainable and environmentally responsible manner.

The Utility Master Plan will assess the condition of existing 

utility equipment, improve operating efficiency and reliability 

of the plant and utility tunnels, and provide a road map 

for future energy needs. In FY 2020, the AOC developed 

the plan’s overarching goals and objectives, measured 

baseline performance data, consulted with an advisory 

panel of national experts, and began screening various 

technologies. In FY 2021, while the plan’s development was 

delayed due to COVID-19, the AOC completed a detailed 

review of 30 types of technologies and utility configurations 

and selected six final options for full development.

Scheduled to be completed in FY 2022, the Utility Master 

Plan will create a road map of projects and priorities to 

support a reliable, resilient and sustainable utility system 

infrastructure. It will also provide valuable input to specific 

long-range energy conservation and sustainability initiatives 

developed for the Vision 2100 Master and Strategic 

Plans and the 20-year Capitol Complex Master Plan.

CAPITOL

HIGHLIGHTS
Management’s Discussion and Analysis | SECTION 01 25

Financial Highlights

Introduction

This section provides an overview of the AOC’s financial statements 

that appear within Section 03: Financial Information of this 

report. The principal financial statements, independently audited 

by KPMG, include the Balance Sheets, Statements of Net Cost, 

Changes in Net Position and Budgetary Resources for the fiscal year 

ended September 30, 2021. Table 11 summarizes key data from the 

financial statements. The financial accomplishments include: 

 Assets exceeded liabilities at the close of FY 2021 by $3.4 billion, 

an increase of $278 million (9 percent) over FY 2020. This change 

primarily resulted from increases in general property, plant and 

equipment (PP&E) and the fund balance with Treasury (FBWT). 

 General property, plant and equipment (net of accumulated 

depreciation), the AOC’s largest asset, totaled more than 

$2.5 billion at the close of FY 2021, a $98 million increase over 

FY 2020. This increase is primarily a result of the capitalization 

of costs from various Capitol campus construction projects. 

 The agency’s net cost of operations amounted to $756 million, 

a $128 million (20 percent) increase from the prior year. This 

increase resulted from costs associated with the COVID-19 

pandemic response, enhanced security, and payroll and 

inflationary increases. 

 The AOC’s financial activities resulted in a $278 million positive 

change in net position from the prior year. Of this amount, 

unexpended appropriations increased $261 million and the 

cumulative results of operations rose $17 million. 

Independent Financial Statements Audit

The AOC received an unmodified (clean) financial statements 

audit opinion for FY 2021 — the 17th consecutive year in which 

the agency received a clean audit opinion. An unmodified opinion 

provides reasonable assurance that the financial statements are 

free of material misstatement. Reasonable assurance, while not 

absolute, is nonetheless a high level of assurance. The audit also 

resulted in one material weakness (for a control gap identified for 

the respective reviews of estimates) and no significant deficiencies. 

Figure 11 shows the number of material weaknesses and significant 

deficiencies for each fiscal year that the AOC submitted its four 

principal financial statements for an audit. Although not rising to the 

level of a material weakness or significant deficiency, the FY 2021 

audit also identified control deficiencies related to lack of review and 

monitoring of SOC 1 for the LBFMS, lack of controls over assessing 

SOC 1 reports and non-GAAP treatment of prepaid software 

expenses. In FY 2022, the AOC will establish the corrective action 

plans to remediate these findings.

Guide to the Financial Statements

Federal government efforts to improve financial transparency and 

accountability led to the passage of mandatory uniform accounting 

and reporting standards for executive branch agencies. As a 

legislative branch agency, the AOC generally complies with the 

spirit of the executive branch requirements as a best practice. As 

a result, the AOC prepared its consolidated financial statements 

from accounting records in conformity with generally accepted 

accounting principles (GAAP). For federal entities, GAAP are 

A morning view of the statues of Ulysses S. Grant and Abraham Lincoln in the U.S. Capitol Rotunda. The statues are considered heritage assets due to their historic 

significance and cultural, educational and artistic importance.
26 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

TABLE 11

Summary Financial Statement Data ($ in thousands)

BALANCE SHEET SUMMARY FY 2021 FY 2020 PERCENT CHANGE

Fund Balance with Treasury $ 1,249,032 $ 1,014,778 23%

Investments 22,482 31,127 (28%)

General Property, Plant and Equipment, Net 2,548,752 2,450,456 4%

All Other Assets 5,189 2,377 118%

Total Assets $ 3,825,455 $ 3,498,738 9%

Federal Debt and Interest Payable $ 45,610 $ 58,229 (22%)

Environmental and Disposal Liabilities 179,022 79,062 126%

Federal Employee Benefits and Related Accruals 91,742 93,000 (1%)

Advances from Others and Deferred Revenue 26,521 44,327 (40%)

All Other Liabilities 109,283 129,113 (15%)

Total Liabilities $ 452,178 $ 403,731 12%

Unexpended Appropriations $ 1,063,173 $ 801,991 33%

Cumulative Results of Operations 2,310,104 2,293,016 1%

Total Net Position $ 3,373,277 $ 3,095,007 9%

Total Liabilities and Net Position $ 3,825,455 $ 3,498,738 9%

STATEMENT OF NET COST SUMMARY

Gross Cost $ 832,586 $ 714,005 17%

Less: Earned Revenue (76,898) (86,753) (11%)

Net Cost of Operations $ 755,688 $ 627,252 20%

STATEMENT OF BUDGETARY RESOURCES SUMMARY

Unobligated Balance Brought Forward $ 507,889 $ 642,614 (21%)

Appropriations* 1,007,570 728,531 38%

Spending Authority from Offsetting Collections 41,790 59,990 (30%)

Borrowing Authority 4,630 5,662 (18%)

Total Budgetary Resources $ 1,561,879 $ 1,436,797 9%

* Appropriations of $1,007.6 million in FY 2021, as reported on the Statement of Budgetary Resources, include direct appropriations of $684.1 million, $10.6 million in Judiciary 

appropriations (administered by the AOC for the care of the Supreme Court of the United States and its grounds), $321.9 million in emergency appropriations for security and COVID-19 

reimbursements, less a House Office Building Fund transfer of $9.0 million. In FY 2020, the AOC received $728.5 million in total appropriations, composed of direct appropriations of 

$695.9 million, $15.6 million in Judiciary appropriations, $25.0 million for COVID-19 response under the CARES Act, and minor special funds receipts, less a House Office Building Fund 

transfer of $8.0 million.

FIGURE 11

Audit Material Weaknesses and Significant Deficiencies

 

 

 

 

 
Management’s Discussion and Analysis | SECTION 01 27

the standards prescribed by the Federal Accounting Standards 

Advisory Board (FASAB). Table 12 provides a scorecard of the AOC’s 

compliance with the federal requirements. 

This section provides a brief description of each financial statement, 

their significant balances, major fluctuations and their relevance to 

the AOC’s operations. To facilitate analysis, the AOC organized these 

financial highlights as follows:

 Financial Position Overview: Balance Sheet

 Operational Results: Statement of Net Cost

 Cumulative Overview: Statement of Changes in Net Position

 Combined Statement of Budgetary Resources

 Limitations of the Principal Financial Statements

Financial Position Overview: Balance Sheet

The Balance Sheet provides a snapshot of the AOC’s financial 

position at a fixed point in time. It displays the amounts of current 

and future economic benefits owned or available (Assets), amounts 

owed (Liabilities) and residual amounts (Net Position) at the end of 

the fiscal year.

Assets: As of September 30, 2021, the AOC reported total assets of 

$3.8 billion. This represents an increase of $327 million (9 percent) 

over the FY 2020 total assets of $3.5 billion. This change is primarily 

due to the $234 million increase in FBWT and the $98 million 

increase in PP&E. These two asset classes account for 99 percent of 

the agency’s total assets. Figure 12 summarizes the total assets by 

major component at September 30, 2021.

PP&E is the AOC’s largest asset, representing near 67 percent of 

total assets. PP&E, net of accumulated depreciation, was $2.5 billion 

at fiscal year-end, a $98 million increase from the FY 2020 balance. 

The increase in PP&E from the prior year is primarily due to the 

capitalization of construction projects, net of depreciation expense. 

F IG U R E 12

Summary of Total Assets as of September 30, 2021

TABLE 12

AOC Financial Scorecard

MET?

REQUIREMENT OR INITIATIVE YES NO N/A COMMENT

Government Management Reform Act of 1994  Unmodified audit opinion

Federal Managers’ Financial Integrity Act of 1982 (FMFIA) — 

Internal Controls (Section II) 

Financial Systems (Section IV)



One material weakness (Section II) 

Financial systems conform to Section IV requirements and 

no FISMA significant deficiencies

OMB Circular A-123, Appendix A  One material weakness

OMB Circular A-136  Not in full compliance with reporting requirements and 

federal GAAP

Federal Financial Management Improvement Act of 1996

(FFMIA)  Substantially complies with federal financial management 

system requirements

Federal Information Security Modernization Act of 2014 

(FISMA)  Substantially complies with FISMA requirements

Anti-Deficiency Act  Zero violations

Debt Collection Improvement Act  Employee debts referred to Treasury for collection

Digital Accountability and Transparency Act (DATA Act)  As a legislative branch agency, the AOC is not required to 

comply with this act

Payment Integrity Information Act of 2019 (PIIA)  As a legislative branch agency, the AOC is not required to 

comply with this act

Do Not Pay Initiative  Achieved through Treasury’s Invoice Processing Platform

Prompt Payment Act  As a legislative branch agency, the AOC is not required to 

comply — however, AOC policy is to pay its vendors within 

30 days after receipt and acceptance of an invoice
28 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Major completed capitalized improvements included Phase 2 of the 

Cannon Renewal ($176 million), Phase 3A of the West Refrigeration 

Plant Chiller System Replacement at the Capitol Power Plant 

($35 million), Sequence 2 of the Exterior Envelope Restoration 

for the Russell Senate Office Building ($33 million), Phase 3 of 

the Rayburn Garage Interior Rehabilitation ($30 million) and 

others. Figure 13 summarizes the PP&E balances by asset class at 

September 30, 2021.

At September 30, 2021, the largest asset class of the AOC’s PP&E 

balance is building improvements ($1.4 billion, 55 percent of 

total PP&E). This category is followed by buildings ($575 million, 

23 percent) and construction work-in-progress ($340 million, 

13 percent). At the close of FY 2021, the largest construction 

work-in-progress projects included Phase 3 of the Cannon Renewal 

($46 million), the Book Storage Modules 6 and 7 at Fort Meade 

($38 million), the Senate Underground Garage Renovation and 

Landscape Restoration ($32 million) and others. 

The FBWT, at $1.2 billion (33 percent of total assets), represents 

the next largest asset category. Its $234 million increase from the 

prior fiscal year was primarily due to the receipt of a $322 million 

supplemental emergency appropriation in FY 2021 for security 

enhancements and COVID-19 reimbursements. During the current 

year, the AOC’s disbursements also increased noticeably because of 

ongoing work on the Cannon Renewal, as well as COVID-19-related 

spending. Appropriated construction project funding immediately 

increases the FBWT balance while the related disbursements 

reduce the FBWT balance occur over the term of the projects. This 

causes the FBWT balance to initially spike and then decline as the 

construction program amounts are disbursed.

The remainder of the AOC’s assets are comprised of investments, 

accounts receivable, retail inventory held for sale in the CVC Gift 

Shops and other assets. Investments are composed of two primary 

instruments: the Capitol Visitor Center Revolving Fund held with 

Treasury ($12 million) and an escrow balance held with the public 

related to the Marshall Building ($11 million).5

 Total investments 

equaled nearly $23 million, representing a net decrease of 

$9 million, or 28 percent from FY 2020. This decrease is primarily a 

result of spending related to the CVC Exhibition Hall renovation and 

upgrade, which is being fully funded out of the Capitol Visitor Center 

Revolving Fund, and a decline in CVC Gift Shops sales and restaurant 

commissions as a result of the continued temporary closure of the 

CVC due to COVID-19. The escrow reserve fund supporting the 

Marshall Building may be used for renovations to that facility. 

The annual trend in the AOC’s total assets between FY 2016 through 

FY 2021 is presented in Figure 14. As displayed, the total assets 

increased by $1 billion, or 38 percent, over this period. This increase 

is principally the result of a $688 million (37 percent) increase in 

general PP&E, net of accumulated depreciation, and a $363 million 

increase (41 percent) in the FBWT. The PP&E increase was a result 

of the capitalization of personal and real property over this period, 

including the Cannon Renewal (Phases 0 through 3), the cogeneration 

plant and multiple stone restoration and preservation projects. The 

largest single component of the FBWT increase is related to this year’s 

$321.9 million emergency security supplemental appropriation. In 

addition, the FBWT increased due to appropriations designated for the 

AOC’s House Historic Buildings Revitalization Trust Fund ($47 million 

since FY 2016) to support the revitalization of major historic buildings 

and assets of the U.S. House of Representatives. Multiyear and noyear appropriations to the AOC make up the remainder of this FBWT 

increase. The AOC uses multiyear and no-year appropriations to fund 

many of the long-term construction projects such as the restoration 

and renewal of facilities on the Capitol campus.

5 The AOC’s investments include funds held by a trustee outside of the U.S. 

Department of Treasury as a result of financing the construction of the Marshall 

Building. Congress did not appropriate funds for this building’s construction but, 

instead, authorized the use of private financing to cover its cost. In 1989, the AOC 

entered into a development management agreement with Boston Properties for its 

design, development and construction. Shearson Lehman Hutton, Inc. and Kidder, 

Peabody, & Co., Inc., issued 30-year Serial Zero Coupon Certificates of Participation 

to finance the construction. Pursuant to a Trust Agreement, the proceeds were 

received by a trustee, The United States Trust Company of New York (now the Bank 

of New York Mellon). The Operating Reserve Fund is held in reserve to cover the 

future renovation needs of the building.

F IG U R E 14

Trend in Total Assets

TOTAL A SSETS ($ IN MILLIONS)

2016

FISCAL YEAR

2017 2018 2019 2021 6-Year

Average

2020

$0

$500

$,1000

$1,500

$2,000

$2,500

$3,000

$3,500

$4,000

 $2,957.0 

 $3,220.0 

 $3,498.7 

 $2,779.4 

 $3,384.4 

 $3,825.5 

 $3,277.5 

F IG U R E 13

Net PP&E by Asset Class as of September 30, 2021
Management’s Discussion and Analysis | SECTION 01 29

Stewardship Assets: The AOC maintains an important collection of 

heritage assets (including artworks, architectural features, reference 

and library materials, archival collections and living botanical 

assets) and stewardship land (including the U.S. Capitol Grounds). 

Heritage assets and stewardship land have historic or natural 

significance, are of cultural, educational or artistic importance, or 

have significant architectural characteristics. In accordance with 

FASAB standards, a Balance Sheet does not include a value for 

heritage assets and stewardship land. As these assets are expected 

to be preserved indefinitely, they are generally treated as an 

expense in the Statement of Net Cost and carried at no value on 

the Balance Sheet.6

 However, an exception applies for multiuse 

heritage assets — namely, heritage assets that are primarily used for 

general government operations. The AOC’s multiuse heritage assets, 

identified in Table 13, are included on its Balance Sheet at its cost of 

acquisition and betterment.

Liabilities: At the end of FY 2021, the AOC’s total liabilities 

amounted to $452 million, a $48 million (12 percent) increase 

from FY 2020. The major liability increase included a $100 million 

(126 percent) increase in environmental and disposal liabilities. 

This resulted from a 9 percent inflationary increase in asbestos 

abatement costs attributable to COVID-19 pandemic cost increases 

in the construction industry, as well as changes in the AOC 

methodology to now include labor categories such as construction 

safety and quality control personnel. This increase was offset by 

multiple liability decreases, such as an $18 million (40 percent) 

decrease in advances from others due to liquidation of project 

advances and a $13 million (22 percent) decline in federal debt and 

interest payable due to the payment of semiannual bond liabilities 

attributable to the Marshall Building’s construction. In addition, 

contract holdbacks declined by $10 million due to the completion of 

a variety of Capitol campus construction projects. A variety of other 

liabilities decreased by a cumulative total of $6 million. 

Figure 15 provides the total liabilities by component as of 

September 30, 2021. The AOC’s largest component of total liabilities 

was environmental and disposal liabilities ($179 million or 

40 percent of the total liabilities) related to estimated asbestosrelated cleanup costs. The significant $100 million increase in 

this liability from the prior fiscal year was due to several factors, 

including pandemic-related inflationary construction material 

cost increases and supply chain delays. In addition, changes in the 

asbestos specification requirements used by the AOC resulted in the 

inclusion of additional labor categories in its estimated cost liability 

for construction safety and quality control personnel. This liability 

was followed by All Other Liabilities ($109 million or 24 percent), 

a “catch-all” category that includes accounts payable, accrued 

liabilities related to capital projects ($39 million), a cogeneration 

plant payment ($46 million) and others. This was followed by 

liabilities for federal employee benefits, which accounted for 

$92 million (20 percent). This amount included federal employee 

and veteran benefits payable ($69 million), benefit program 

contributions payable ($8 million) and accrued funded payroll and 

leave costs ($15 million). Other major liabilities included federal 

6 Federal entities are required to provide a description of major heritage asset 

categories and physical unit information at the end of the fiscal year — including 

their condition, the number of units added or withdrawn during the year and a 

description of the methods of acquisition or withdrawal. For further detail, see 

the Notes to the Financial Statements (Note 9) and Required Supplementary 

Information in Section 03: Financial Information.

TABLE 13

Multiuse Heritage Assets at the AOC

FACILITY AOC JURISDICTION

U.S. Capitol Building Capitol Building

East Refrigeration Plant Capitol Power Plant

Main Boiler Building Capitol Power Plant

Old Generator Building Capitol Power Plant

Cannon House Office Building House Office Buildings

East and West House Underground 

Garages House Office Buildings

Ford House Office Building House Office Buildings

Longworth House Office Building House Office Buildings

Rayburn House Office Building House Office Buildings

James Madison Memorial Building Library Buildings and Grounds

John Adams Building Library Buildings and Grounds

Thomas Jefferson Building Library Buildings and Grounds

Daniel Webster Page Residence Senate Office Buildings

Dirksen Senate Office Building Senate Office Buildings

Hart Senate Office Building Senate Office Buildings

Russell Senate Office Building Senate Office Buildings

Senate Underground Garage Senate Office Buildings

Supreme Court of the United States Supreme Court Building and Grounds

Thurgood Marshall Federal Judiciary 

Building Supreme Court Building and Grounds

Administration Building U.S. Botanic Garden

Conservatory U.S. Botanic Garden

F IG U R E 15

Summary of Total Liabilities as of September 30, 2021
30 ARCHITECT of the CAPITOL

debt and interest payable ($46 million or 10 percent) related to the 

30-year Serial Zero Coupon Certificates of Participation to finance 

the Marshall Building’s construction, advances from others and 

deferred revenue ($27 million or 6 percent). 

The AOC presents the annual trend in total liabilities for FY 2016 

through FY 2021 in Figure 16. Since FY 2016, the AOC’s total 

liabilities have increased by $93 million, or 26 percent. This 

change was primarily driven by the following account increases: 

a $103 million increase in environmental and disposal liabilities, a 

$46 million increase in long-term debt to Washington Gas for the 

cogeneration plant (included under other liabilities), $9 million in 

accrued construction liabilities, $5 million in contract holdbacks 

and $7 million in federal employee benefits. These increases were 

offset by declines of $53 million in federal debt and interest payable 

and $21 million in advances from others and deferred revenue, 

and others.

Operational Results: Statement of Net Cost

The Statement of Net Cost presents the AOC’s total net cost of 

operations by responsibility segment. The responsibility segments 

were determined based on the FASAB concepts and standards 

applicable to the federal government. The 11 responsibility 

segments, and the organizational units included within, are 

identified in Table 14. 

Net cost includes total program costs, minus all earned revenues 

attributed to and permitted to be offset against those costs. The 

AOC’s net cost of operations in FY 2021 totaled $756 million, an 

increase of $128 million or 20 percent from FY 2020. The increase 

in net costs was a largely a result of a $100 million increase in the 

AOC’s accrual for asbestos removal costs. Additional cost increases 

resulted from higher emergency security support, the agency’s 

COVID-19 pandemic response, the Presidential Inauguration and the 

117th congressional transition moves. The trend in the net cost of 

operations is displayed in Figure 17.

A comparison of the AOC’s total net cost by responsibility segment 

for FY 2021 and FY 2020 is displayed in Figure 18. Significant 

increases, year over year, included:

H E R I TA G E A S S E T 

CONSERVATION

The preservation of heritage assets — which include artworks, 

architectural elements and historic structures — is one of 

the AOC’s core functions. The AOC’s Curator Division leads 

the agency’s curatorial and conservation efforts for artworks 

including fine and decorative art and the AOC’s Historic 

Preservation Officer leads the agency’s conservation efforts 

for architectural features and historic structures on the 

Capitol campus.

In FY 2021, the AOC redirected conservation resources from 

ongoing projects to address the damage caused during the 

events of January 6, 2021. Among the most prominent areas that 

sustained damage were the Brumidi Corridors — the elaborately 

decorated halls of the U.S. Capitol with floor-to-ceiling murals. 

The initial survey of the damaged areas found powdery white 

accretions on the wall panels. A material analysis by the 

Smithsonian Institution identified the substance as pepper spray. 

Additional examination with enhanced lighting confirmed the 

consistent presence of pepper spray and fire-retardant residue, 

dust and grime on wall surfaces. Conservators began repairing 

flaking or lifting paint throughout the corridors and cleaning the 

walls with soft brushes, HEPA vacuums and an aqueous solution. 

Conservators also cleaned 77 statues in the National Statuary 

Hall Collection and repaired the East Front Rotunda doors.

Regularly scheduled conservation projects included essential 

maintenance of historic bronze works. Conservators treated the 

ornamental bronze railings in the House Wing, removing dust, 

dirt and active corrosion and applying a protective coating. The 

AOC conducts this type of conservation maintenance every three 

to five years.

www.aoc.gov/explore-capitol-campus/art

CAPITOL

HIGHLIGHTS

F IG U R E 16

Trend in Total Liabilities

 

 
Management’s Discussion and Analysis | SECTION 01

 House Office Buildings: Net costs increased by $55 million 

(56 percent) due to an increase in accrued asbestos removal 

costs (more than $49 million) along with inflationary payroll and 

nonpay costs and costs associated with the 117th congressional 

office moves.

 Senate Office Buildings: Net costs increased by $31 million 

(36 percent) due to an increase in accrued asbestos removal 

costs (more than $17 million), COVID-19 service contracts and 

inflationary payroll and nonpay costs and costs associated with 

the 117th congressional office moves.

 Library Buildings and Grounds: Net costs increased by 

$25 million (54 percent), principally due to a substantial increase 

in accrued asbestos removal costs (more than $23 million), costs 

for general repairs and costs related to the Library’s energy 

savings performance contract. In addition to the gross cost 

increases, earned revenue declined in FY 2021, primarily due to 

the nonrecurrence of revenue related to the U.S. Copyright Office 

Storage Facility.

 Capitol Police Buildings, Grounds and Security: Net costs 

increased by $19 million (57 percent), mainly due to an increase 

in emergency security support costs ($16 million) and additional 

COVID-19 response costs.

 Capitol Building: Net costs increased by $15 million (25 percent), 

principally due to a substantial increase in accrued asbestos 

removal costs (more than $8 million) along with the construction 

and removal of the Presidential Inauguration platform and 

supporting infrastructure (near $4 million). 

 Capitol Power Plant: Net costs increased by $12 million 

(14 percent) due to unforeseen minor construction projects, 

non-capitalizable improvements such as tunnel waterproofing 

and concrete repairs and an increase in payroll and nonpay 

inflationary costs.

 U.S. Capitol Visitor Center: Net costs increased by $5 million 

(18 percent). This increase is partially attributable to a $3 million 

increase in gross costs, mainly due to non-capitalizable costs 

associated with the CVC Exhibition Hall renovation and a rise in 

general operations and website support for the new e-commerce 

retail site. The increased costs were offset by a reduction in 

earned revenues of $2 million owing to the pandemic-related 

closure of the CVC for the entire fiscal year, and a corresponding 

decline in gift shop sales and restaurant commissions. 

Significant decreases in the net cost of operations included: 

 Supreme Court Building and Grounds: Net costs decreased 

by $21 million (239 percent) primarily due to a reduction in 

non-capitalizable costs related to the Marshall Building projects 

(including building automation system updates, Administrative 

Office of the U.S. Courts space realignments and façade repairs). 

 Capital Construction and Operations: Net costs decreased 

by $12 million (8 percent). This decline was primarily due to a 

$13 million decrease in costs related to the agency’s COVID-19 

response and related service contracts (see also COVID-19 

Financial Impact on Page 38), offset by inflationary increases for 

payroll and benefit costs.

31

TABLE 14

Responsibility Segments

RESPONSIBILITY SEGMENT ORGANIZATIONAL UNITS INCLUDED

Capital Construction and Operations

Architect of the Capitol, Deputy 

Architect, Chief Engineer, Chief Financial 

Officer, Chief Administrative Officer, 

Chief of Operations (front office only), 

Equal Employment Opportunity Officials, 

General Counsel, Inspector General, 

Legislative and Public Affairs, Safety and 

Code Compliance

Capitol Building Chief of Operations: Capitol 

Building jurisdiction

Capitol Grounds and Arboretum Chief of Operations: Capitol Grounds and 

Arboretum jurisdiction

Capitol Police Buildings, Grounds 

and Security Chief Security Officer

Capitol Power Plant Chief of Operations: Capitol Power 

Plant jurisdiction 

House Office Buildings Chief of Operations: House Office 

Buildings jurisdiction

Library Buildings and Grounds Chief of Operations: Library Buildings 

and Grounds jurisdiction

Senate Office Buildings Chief of Operations: Senate Office 

Buildings jurisdiction

Supreme Court Building and Grounds Chief of Operations: Supreme Court 

Building and Grounds jurisdiction

U.S. Botanic Garden Chief of Operations: U.S. Botanic 

Garden jurisdiction 

U.S. Capitol Visitor Center Chief of Operations: U.S. Capitol Visitor 

Center jurisdiction

F IG U R E 17

Trend in Net Cost of Operations

 

 
32 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Earned Revenues by Source: Overall, revenues declined by 

$10 million (11 percent), from $87 million in FY 2020 to $77 million 

in FY 2021. As depicted in Figure 19, the AOC’s primary source of 

revenue was intragovernmental reimbursements from the federal 

judiciary branch for facility operations ($51 million, 66 percent). 

Other principal revenue sources were from rent, recycling proceeds, 

online gift shop sales and miscellaneous revenues earned at 

multiple AOC jurisdictions (totaling $17 million or 22 percent of all 

earned revenues) and shown as “All Other Revenues” on the chart. 

The decline in All Other Revenues was primarily due to a $6 million 

decrease in project-related reimbursements by the Library Buildings 

and Grounds jurisdiction and a $2 million decline in gift shop sales 

and restaurant commissions at the U.S. Capitol Visitor Center Gift 

Shops owing to the closure of the CVC for the entire fiscal year due 

to the COVID-19 pandemic. Reimbursements paid to the AOC’s 

Capitol Power Plant for the provision of steam and chilled water to 

nonlegislative branch entities near the Capitol campus remained 

constant at $9 million (12 percent).

F IG U R E 18

Summary of Net Cost of Operations by AOC Responsibility Segment

 

F IG U R E 19

Earned Revenues by Source

The U.S. Capitol Visitor Center online Gift Shop opened in FY 2021. All 

products for sale are made-in-the-USA such as this AOC children's activity 

book, filled with puzzles, coloring pages and educational activities.
Management’s Discussion and Analysis | SECTION 01 33

Cumulative Overview: Statement of Changes 

in Net Position

The Statement of Changes in Net Position identifies the difference 

between all financing sources available to and used by the AOC to 

support its net cost of operations. Net position is the sum of two 

components: cumulative results of operations and unexpended 

appropriations. Each component is displayed to facilitate a more 

detailed understanding of the changes to the net position.

The AOC’s net position at September 30, 2021, shown on both 

the Balance Sheet and the Statement of Changes in Net Position, 

was $3.4 billion, a $278 million increase from FY 2020. This change 

was due to an increase of $261 million (33 percent) increase in 

unexpended appropriations and $17 million (1 percent) increase 

in the cumulative results of operations. As depicted in Figure 20, 

net position has increased by $953 million (39 percent) over the 

past six fiscal years, primarily as a result of multiyear and no-year 

appropriations received to address deferred maintenance needs 

across the Capitol campus, along with capital projects to renew or 

improve the campus’ aging infrastructure, over this period.

DID YOU KNOW?

You can read the Architect of the Capitol’s written 

statements to the appropriations committees 

of the U.S. House of Representatives and U.S. 

Senate for the agency’s FY 2021 and FY 2022 

budget requests at: www.aoc.gov/what-we-do/

publications/testimony.

Combined Statement of Budgetary Resources

The Combined Statement of Budgetary Resources details how 

the AOC obtained its budgetary resources and the status of these 

resources at the end of the fiscal year. The AOC receives general 

funds appropriated for its use by Congress and administered by the 

U.S. Treasury. Congress enacts separate appropriations for the AOC’s 

operating jurisdictions, plus a Capital Construction and Operations 

appropriation for the agency’s intra-agency support. The AOC 

also has stewardship responsibility for trust, special and revolving 

funds (e.g., Flag Office Revolving Fund), which are administered in 

accordance with applicable laws and regulations.

For the fiscal year ended September 30, 2021, the AOC’s total 

budgetary resources amounted to more than $1 billion, a 

$279 million increase (38 percent) from FY 2020 levels. These 

resources included $684 million in regular appropriations, 

consisting of three components. The operating budget, the largest 

component at $478 million (70 percent), funds payroll, utilities, 

facilities maintenance, centralized activities, information services, 

power plant operations, grounds care, safety operations, as well 

as architecture, engineering, visitor and curatorial services. The 

multiyear capital projects budget, at $141 million (21 percent), 

was the next largest component of its regular appropriations and 

supports construction, upgrades, improvements and preservation 

projects. No-year funding of $65 million (9 percent) provided 

additional funding for the renewal of the Cannon House Office 

Building, as well as for the Joint Audible Warning System. Included 

in the no-year funding, $9 million was derived by the transfer from 

the House Office Buildings fund.7

 In addition, the AOC received 

$11 million from the Judiciary appropriation for the care of the 

Supreme Court of the United States and its grounds.8

 This fiscal 

year, the Emergency Security Supplemental Appropriations Act, 2021

provided the AOC with nearly $322 million for security upgrades 

7 Amounts in the House Office Buildings Fund are available to the AOC for the 

maintenance, care and operation of the House office buildings. Despite its name, 

this is a general fund, not a trust, special or revolving fund.

8 The AOC is responsible for the care of the Supreme Court of the United States and 

its grounds, although the corresponding budgetary resources are included in the 

federal government’s judiciary branch appropriations.

FIGURE 20

Trend in Net Position by Category

 
34 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

to the U.S. Capitol ($300 million) and to reimburse the agency for 

additional costs of its COVID-19 response ($21.9 million).

Figure 21 displays the AOC’s total appropriations for FY 2021 and 

the five prior fiscal years. The FY 2021 $279 million net increase in 

budgetary resources was chiefly due to a $14 million increase in 

operating funds plus the $322 million emergency supplemental. 

These budgetary increases were offset by a $28 million reduction 

in multiyear capital project funding, the nonrecurrence of the 

$25 million funding received in FY 2020 under the CARES Act and a 

$5 million reduction in funds for the care of the Supreme Court of 

the United States and its grounds.

Limitations of the Principal 

Financial Statements

The principal financial statements are prepared to report the 

financial position and results of operations of the AOC consistent 

with the requirements of 31 U.S.C. § 3515(b). The statements are 

prepared from the AOC’s books and records in accordance with 

federal GAAP and in the spirit of the formats prescribed by the 

OMB. Reports used to monitor and control budgetary resources are 

prepared from the same books and records. The financial statements 

should be read with the realization that they are for a component of 

the U.S. government, a sovereign entity.

FIGURE 21

Trend in Total Appropriations

 

 
Management’s Discussion and Analysis | SECTION 01 35

Financial Management Systems Framework 

The AOC’s core financial management system accounts for the AOC’s 

funds through approximately 684,000 annual transactions. Figure 

22 depicts the AOC’s financial management systems framework.

Key Financial and Reporting Systems

The AOC’s core financial management system, the Legislative 

Branch Financial Management System (LBFMS), conforms to the 

requirements of the Federal Financial Management Improvement Act 

of 1996 (FFMIA). The system uses commercial-off-the-shelf (COTS) 

software (Momentum®) designed for the federal government. 

Momentum® includes the following financial system modules: 

Budget Execution, Acquisitions, Purchasing, Receiving, Accounts 

Payable, Automated Disbursements, General Ledger, Credit Card, 

Fixed Assets, Workload, Contract Closeout, Travel and Project Cost 

Accounting. In addition to Momentum®, the AOC’s key financial and 

reporting systems include:

 U.S. Capitol Visitor Center Point of Sale System is a standalone, back-office retail inventory management system used to 

record daily sales and inventory transactions from the CVC Gift 

Shops. In FY 2021, the AOC implemented an automated batch 

interface between the CVC system and the LBFMS. 

 Central Contractor Registration Connector (CCRC) is a 

Momentum® application that downloads the latest vendor 

information from the U.S. General Services Administration 

(GSA) System for Award Management and updates the LBFMS 

vendor records. 

 Citibank® credit card interface transmits credit card transaction 

data to the LBFMS via a batch file. The AOC uses the GSA 

SmartPay 3 shared services structure and contract. 

 CWTSatoTravel E2 Solutions Travel System (E2 Solutions) 

provides end-to-end travel management services via a secure 

web portal and interfaces with the LBFMS. The E2 Solutions 

system is part of the GSA E-Gov Travel Service, a federal, webbased, shared travel management service.

 Data Marts assist in data management, including staging data 

during off-peak times and simplifying data structure for use by 

multiple systems. 

 e-Builder Project Management Information System (PMIS) 

tracks the status of construction projects. The AOC data 

marts provide financial information for the projects managed 

in e-Builder.

 Inventory Control System (ICS) is COTS software (IBM Maximo®) 

used to track the AOC’s inventory of materials, supplies and 

accountable property. The ICS provides life cycle and asset 

management functionality. Real-time interfaces integrate 

ICS with LBFMS obligations, receipt of transactions and 

inventory drawdowns. 

 Invoice Processing Platform (IPP) is a secure, web-based 

electronic invoicing system provided by Treasury to simplify 

the management of vendor invoices. The IPP interfaces with 

the LBFMS. 

FIGURE 22

Financial Management Systems Framework

 

 
36 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

 National Finance Center (NFC) provides payroll and personnel 

services to the AOC as part of a cross-servicing agreement with 

the U.S. Department of Agriculture. The NFC data is submitted to 

the LBFMS via an AOC payroll application.

 Operational Data Store (ODS) is the AOC’s payroll and 

personnel database, which is also used as a warehouse for 

detailed employee payroll information. The ODS receives a batch 

file of NFC payroll data, and an AOC payroll application creates a 

batch file of transactions for export to the LBFMS. 

 Project Information Center (PIC) is the AOC’s proprietary project 

management system. The LBFMS provides budget and obligation 

data to PIC. The AOC is replacing the PIC system with e-Builder.

 Reporting and Analytics business intelligence tools used by 

the AOC include Microsoft SQL Server Reporting Services and 

Tableau. These tools pull information from multiple AOC systems 

but, for visual clarity, are not shown on the financial management 

systems framework (Figure 22). 

 System for Award Management (SAM) is an official website 

managed by the GSA providing vendor and other entity 

registration information for businesses contracting with the 

federal government. The Momentum® Central Contractor 

Registration Connector (CCRC) provides key interface 

management to support SAM.gov and LBFMS operations. 

 U.S. Department of Treasury Systems allow the AOC to collect, 

disburse, reconcile and report on the agency’s funds. These 

Treasury Bureau of the Fiscal Service systems include: the Central 

Accounting Reporting System (CARS) for monthly financial 

reconciliation, Governmentwide Treasury Account Symbol 

Adjusted Trial Balance System (GTAS) for quarterly trial balance 

reporting, Treasury Payment Automation Manager (PAM) for 

payments to employees and vendors, and Intra-Governmental 

Payment and Collection (IPAC) supporting intra-agency 

transactions. The Collections Information Repository (CIR) 

provides detailed information on collections from the Treasury’s 

Pay.gov website, OTCnet and other sources. In addition, the AOC 

uses Pay.gov to manage the collection of fees and other deposits.

INFOGRAPHIC

Legislative Branch Financial Management System Users

SYSTEMS INCLUDED:

MOMENTUM®  CORE FINANCIAL MANAGEMENT SYSTEM

MAXIMO®  INVENTORY CONTROL SYSTEM

SATO E2 SOLUTIONS TRAVEL SYSTEM  TRAVEL MANAGEMENT SERVICES SYSTEM

ARCHITECT OF

THE CAPITOL

CONGRESSIONAL

BUDGET OFFICE

GOVERNMENT 

ACCOUNTABILITY OFFICE

 LIBRARY OF CONGRESS

THE MEDICARE PAYMENT

ADVISORY COMMISSION

OFFICE OF CONGRESSIONAL 

WORKPLACE RIGHTS

CONGRESSIONAL OFFICE 

FOR INTERNATIONAL

 LEADERSHIP

U.S. CAPITOL POLICE
Management’s Discussion and Analysis | SECTION 01 37

Financial Systems Strategy: Achieving the AOC’s Mission With 

Improved Financial Management 

The AOC’s financial systems strategy supports mission performance, 

facilitates interagency planning, and improves transparency and 

accountability. Continued standardization of financial activities 

within a shared services environment improves the agency’s 

business processes, leading to greater efficiencies and cost 

stabilization. This fiscal year, the AOC continued its efforts to 

upgrade existing systems and capabilities and implement new 

functionality that better supports financial management, data 

analytics and data-driven decision-making. 

The AOC has used the LBFMS, a shared-service financial 

management system hosted by the Library of Congress, since 

FY 2016. The infographic on Page 36 (Legislative Branch 

Financial Management System Users) displays the participating 

agencies and the systems included in this shared environment. 

The LBFMS operations and hosting continued as a major focus in 

FY 2021, including the upgrade of its core financial management 

system from Momentum® 7.4 to 7.8. The AOC also upgraded its 

inventory management software from Maximo® 7.6.0.10 to 7.6.1 

in coordination with the USCP and the LBFMS. Both the LBFMS 

Momentum®and Maximo® systems migrated their data center to the 

Microsoft® Azure cloud. The AOC continued to improve its systems 

security posture through cybersecurity maintenance and updates, 

penetration testing and other independent assessments. 

In FY 2021, the AOC made system and process improvements that 

increased overall data quality, data accessibility and efficiency. 

The AOC implemented a pilot Robotic Process Automation (RPA) 

project — a first for the agency — with UiPath software. Using RPA, 

the AOC completed the successful testing of the LBFMS upgrades, 

including major changes to the Acquisition module. The AOC 

improved business processes that allowed for greater system data 

batch load processing and validation and verification. The AOC 

also implemented an automated closeout process this fiscal year, 

resulting in more than 5,300 contract closeouts dating back to 

FY 2005. Continued proactive data analysis flagged invoice routing 

errors and necessary contract adjustments, resulting in a 47 percent 

reduction of manual adjustments to IPP transactions. 

This year, the AOC continued the expanded use of business 

intelligence tools to support financial and operational reporting 

across the agency. The agency formed an Enterprise Reporting 

Steering Committee to review opportunities for new reports and 

evaluate results, while working with functional process owners to 

develop and test new dashboards and reports related to human 

capital, procurement and construction. The AOC supported the 

development of COVID-19 impact reports and dashboards to 

facilitate CARES Act compliance and deployed two additional 

enterprise datasets for human resources-related data. In addition, 

the AOC developed and implemented a new application to support 

the updated quarterly financial review process. This dashboard tool 

improves the agency’s management of unliquidated obligations 

and allows for the automated validation of open obligations within 

the application.

Looking ahead, the AOC will continue its implementation of 

Treasury’s Budget Formulation and Execution Manager application 

to standardize and improve the agency’s budget processes. In 

addition, the AOC will develop and pilot requirements for the use 

of the Treasury’s G-Invoicing platform to manage the processing 

and approval of interagency agreements, orders and invoices, 

with a planned implementation in FY 2022. The GSA Unique Entity 

Identifier government mandate to replace DUNS vendor coding is 

also planned for the AOC in FY 2022. These changes will align the 

AOC’s systems with federal mandates and system requirements, as 

well as reduce manual processes, improve data quality and enhance 

the efficiency of the AOC’s financial stewardship.
38 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

COVID-19 Financial Impact

Of the approximately $2 trillion appropriated under the Coronavirus 

Aid, Relief, and Economic Security Act (CARES Act), the AOC received 

$25 million in supplemental funding to prevent, prepare for and 

respond to COVID-19 throughout the facilities and grounds under 

the agency’s care. These emergency funds were provided for the 

purchase and distribution of cleaning and sanitation products, 

along with related services and operational costs. In addition, the 

AOC received authority to transfer $2 million from the Senate Office 

Buildings appropriation to support the AOC’s COVID-19 response 

efforts. In July 2021, as part of the Emergency Security Supplemental 

Appropriations Act, 2021, the AOC was provided an additional 

$21.9 million for reimbursements and other costs of the response 

to COVID-19. A summary of the AOC’s funding and expenditures 

related to COVID-19 is shown in Figure 23.

Details about the AOC’s prevention of, preparation for and response 

to COVID-19 throughout the Capitol campus follow:

Supplies and Services 

The AOC spent $17.6 million in funding for cleaning and sanitation 

supplies and custodial services. This category represents 38 percent 

of all AOC spending on COVID-19 protection. The supplies acquired 

included face coverings, hand sanitizer and dispensers, disinfectant 

wipes, hand soap and gloves purchased specifically for COVID-19 

response activities. The acquired services included specialized cleaning, 

sanitation and comprehensive disinfection services in accordance with 

the CDC and OAP guidance for the facilities on the Capitol campus. 

Contract Payments 

The AOC spent $5.0 million on reimbursements to service 

contractors who were furloughed or otherwise unable to work as a 

result of the COVID-19 pandemic. These payments were authorized 

under the CARES Act to lessen the impact of the pandemic on the 

U.S. economy and allowed for certain eligible contractors to be paid 

for a period not to exceed 16 weeks.

Payroll 

The AOC paid for $3.8 million in COVID-19 related salaries, overtime 

and benefits for permanent full-time and part-time agency staff 

assigned to COVID-19 prevention, preparation and response. 

These funds were also used for temporary staff hired to perform 

COVID-19 emergency response activities. Tasks performed by 

agency employees included enhanced cleaning services, extended 

information technology help desk hours, and the fabrication and 

installation of protective equipment. 

Projects

The AOC paid $0.7 million to support enhanced and specialized 

cleaning for the Cannon Renewal site, including the project’s 

office trailers.

Supplemental Spending

The AOC spent $2.4 million in spending from the emergency 

security supplemental appropriations.

Additional Jurisdiction Spending for 

COVID-19-Related Costs 

In addition to amounts spent from CARES Act and emergency 

supplemental funds, the AOC spent an additional $16.4 million from 

its jurisdictions’ current appropriations for COVID-19-related costs. 

FIGURE 23

COVID-19-Related Funding and Obligations ($ in Thousands)

CATEGORY AMOUNT PERCENTAGE

Funding:

CARES Act $ 25,000 51%

Transferred Appropriations 2,000 4%

Emergency Security Supplemental 21,869 45%

Total $ 48,869 100%

Spending:

Supplies and Services $ 17,611 38%

Contract Payments 4,971 11%

Payroll 3,759 8%

Projects 658 1%

Subtotal 26,999 59%

Supplemental Spending 2,437 5%

Additional Jurisdiction Spending for COVID-19-Related Costs 16,422 36%

Total $ 45,858 100%
Management’s Discussion and Analysis | SECTION 01 39

Analysis of Systems, Control and Legal Compliance

Federal Managers’ Financial Integrity 

Act of 1982

The AOC’s leadership is responsible for establishing and maintaining 

effective internal controls and financial management systems that 

meet the objectives of the Federal Managers’ Financial Integrity Act 

of 1982 (FMFIA). The FMFIA requires agencies to establish internal 

controls and financial systems that provide reasonable assurance 

that the following objectives are achieved: effective and efficient 

operations, compliance with applicable laws and regulations, and 

financial reporting reliability. OMB Circular A-123, Management’s 

Responsibility for Enterprise Risk Management and Internal Control, 

implements the FMFIA and defines management’s responsibilities 

for ERM and internal controls. The FMFIA requires agencies to 

provide an annual statement addressing internal accounting and 

administrative controls and to perform ongoing evaluations and 

reporting of the adequacy of the controls within the agency. 

As a legislative branch agency, the AOC is not subject to FMFIA 

requirements. Nonetheless, the AOC considers internal controls to 

be an integral part of the systems and processes it uses to manage 

daily operations in support of its strategic goals and objectives. The 

AOC holds its managers accountable for efficiently and effectively 

performing their duties in compliance with applicable laws and 

regulations and for maintaining the integrity of their activities 

through the use of internal controls. 

Within the AOC, the internal controls program is managed by 

the Chief Financial Officer. The Risk Management Officer has the 

responsibility to manage the program’s ongoing internal controls 

components that follow the principles of OMB Circular A-123, 

Appendix A, Management of Reporting and Data Integrity Risk and 

the U.S. Government Accountability Office (GAO) Green Book. The 

internal controls components under evaluation include the control 

environment, risk assessment, control activities, information, and 

communication and monitoring. The AOC also provided a Summary 

of Financial Statement Audits and Management Assurances, as 

required by OMB Circular A-136, Financial Reporting Requirements, 

revised, is in this report’s Section 04: Other Information. 

FI N A N C I A L R E P O R T I N G 

This fiscal year, the AOC relied on the independent financial 

statement audit to support the agency’s assessment of internal 

controls over financial reporting. 

R I S K M A N AG E M E N T 

Consistent with the latest OMB Circular A-123 guidance, the AOC is 

taking a maturity model approach to implement OMB Circular A-123, 

Appendix A, and integrate risk management activities throughout the 

agency. The AOC will continue to explore logical integration points 

between ERM activities and internal control processes to preserve 

organizational value and enhance decision-making.

Further implementation of the ERM program will build upon 

the AOC’s strategic review process established by the GPRA 

Modernization Act of 2010. Planned activities include the linkage of 

ERM to the agency’s strategic goals, objectives and outcomes, which 

will enable the AOC to improve its mission delivery. To that end, 

successful implementation requires the AOC to continue fostering 

a transparent culture that encourages open communication about 

potential risks. The AOC’s ERM program helps the agency improve 

its processes and performance, while also formalizing the work 

already undertaken. 

The AOC is committed to providing accountability and transparency for the financial resources used to maintain the nation’s most iconic buildings.
40 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Architect’s Statement of Assurance
Management’s Discussion and Analysis | SECTION 01 41

FI N A N C I A L S YS T E M S 

As discussed in the Federal Financial Management Improvement Act 

section, FFMIA requires federal agencies’ financial management 

systems to provide reliable financial data that complies with federal 

financial system requirements, applicable federal accounting 

standards and the U.S. Standard General Ledger (USSGL) at the 

transaction level. To assess conformance, the agency uses internal 

controls assessments based on implementation guidance from 

the OMB, results of OIG reports and reports from the annual 

independent financial statement audit. The overall assessment 

relies upon the evaluations made under the OMB Circular A-123, 

Appendix A. When applicable, particular importance is given to any 

material weakness or significant deficiency identified during the 

internal controls assessments. 

OV E R A L L A SS E SS M E N T 

Based on the procedures performed, the AOC does not consider any 

identified deficiencies to be material weaknesses in internal controls 

that would warrant a less than unqualified assertion on internal 

control over reporting or significant deficiency reporting for FMFIA 

systems purposes. 

OT H E R I N FO R M AT I O N 

A summary of the management assurances is provided in 

Section 04: Other Information. For additional information, refer to 

The Inspector General’s Statement of Management Opportunities 

and Performance Challenges, also located in Section 04.

Summary of Financial Statement Audit 

Material Weaknesses and Nonconformances

At the close of FY 2021, the AOC had one material weakness, no 

significant deficiencies and three other control deficiencies in 

internal control over program operations and compliance with 

applicable laws and regulations. Material weaknesses and reportable 

conditions are determined by management. Using a variety of 

information sources, the AOC managers and staff assess and 

improve the effectiveness of internal control for program operations. 

These information sources include management knowledge gained 

from the daily operation of programs and systems, management 

reviews, program evaluations and the annual independent financial 

statement audit.

M AT E R I A L W E A K N E SS E S SU M M A RY 

A material weakness is a reportable condition that the agency 

head determines to be significant enough to be reported outside 

the agency. The AOC’s FY 2021 financial statement audit identified 

one material weakness related to a control gap identified for the 

retrospective reviews of estimates. Although management did 

not concur with this finding and believes that its methodologies 

meet federal GAAP, the AOC will develop a corrective action plan to 

address this matter.

N O N CO N FO R M A N C E S SU M M A RY 

A reportable condition is a control deficiency or combination of 

control deficiencies that in management’s judgment represent 

significant deficiencies in the design or operation of internal 

controls that could adversely affect the organization’s ability to 

meet its internal control objectives. The AOC’s FY 2021 financial 

statement audit identified no significant deficiencies and three 

control deficiencies. The control deficiencies relate to non-generally 

accepted accounting principles for the treatment of prepaid 

software expenses, a lack of controls over assessing System and 

Organization Controls (SOC 1) reports and a lack of SOC 1 review and 

monitoring for the shared service financial management system for 

the legislative branch. The AOC will be developing corrective action 

plans to review key control activities for these findings in order to 

address them promptly.

Other Financial Compliances

ANTI-DEFICIENCY ACT

The Anti-Deficiency Act, as amended, prohibits federal agencies from 

obligating or expending federal funds in advance or in excess of a 

congressional appropriation and from accepting voluntary services. 

The AOC had no Anti- Deficiency Act violations for FY 2021.

DEBT COLLECTION IMPROVEMENT ACT

The Debt Collection Improvement Act of 1996 requires that any 

nontax debt or claim owed to the U.S. government that is 180 days 

delinquent, with certain exceptions, be referred to Treasury for 

collection. Debt that is in litigation or foreclosure with a collection 
42 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

agency or designated federal debt collection center, or that will 

be disposed of under an asset sales program, is exempt from this 

requirement. The AOC referred employee debt to Treasury’s Debt 

Management Services for collection in FY 2021. 

DIGITAL ACCOUNTABILIT Y AND TRANSPARENCY ACT

The Digital Accountability and Transparency Act of 2014 (DATA Act) 

sets standards for federal financial data to make federal spending 

data more accessible, searchable and reliable. As a legislative branch 

agency, the AOC is not required to comply with the DATA Act and is 

not participating in the report submissions. 

F E D E R A L F I N A N C I A L M A N A G E M E N T 

IMPROVEMENT ACT

The Federal Financial Management Improvement Act of 1996 

(FFMIA) requires that federal agencies’ financial management 

systems comply with federal accounting standards, federal system 

requirements and the USSGL at the transaction level. An agency 

achieves substantial compliance when its financial management 

systems routinely provide reliable and timely financial information 

for managing day-to-day operations, as well as for producing 

reliable financial statements. The AOC substantially complied with 

the FFMIA in FY 2021.

F E D E R A L I N F O R M AT I O N S E C U R I T Y 

MODERNIZATION ACT

The Federal Information Security Management Act of 2002 (FISMA) 

requires each executive branch agency to develop, document and 

implement an agencywide program to provide security for the 

information and information systems that support the agency’s 

operations and assets. The AOC, as a legislative branch agency, is not 

required to comply with FISMA. Nonetheless, to create and maintain 

its risk-based information security program, the AOC looks to FISMA, 

along with other executive branch guidelines including Federal 

Information Security Modernization Act of 2014 (FISMA 2014), the GAO 

Federal Information System Controls Audit Manual and the National 

Institute of Standards and Technology (NIST) Special Publications.

The AOC’s risk management and monitoring strategy is based 

on current NIST guidelines. The AOC, with support from an 

independent third party, authorizes and reauthorizes information 

systems on a three-year cycle, testing approximately one-third of 

all systems annually. This effort evaluates the information security 

controls for compliance with the AOC’s policies.

In FY 2021, the AOC improved its information systems security 

posture through additional updates to its computer security 

awareness training, regular testing of security controls, and 

enforcement of procedures for detecting, reporting and responding 

to security incidents. The AOC reviewed, tested and monitored the 

agency’s IT contingency and incident response plans. A combination 

Climate-Related Financial Risk

The May 2021 Executive Order on Climate-Related Financial Risk encourages federal agencies to summarize efforts taken or planned to 

assess, measure and mitigate risks related to climate change that could affect the entity’s financial performance, position or condition. 

While exempt from the executive order, as part of a prior strategic planning effort, the AOC commissioned a report to evaluate the 

potential impacts that extreme weather conditions may pose to the agency’s mission and infrastructure. The November 2018 report 

provided a high-level analysis of likely extreme weather impacts to the Washington, D.C. region and recommended strategies the 

agency could employ to minimize or remediate the risks posed to the Capitol campus. The evaluation focused on the most critical 

facilities under the AOC’s care and narrowed the analysis to four likely areas of impact: sea level rise and severe rainstorms, ice and 

snowstorms, extreme temperatures, and hurricanes and windstorms.

The evaluation included 27 facilities and revealed consistent areas of vulnerability and recommended strategies for mitigating 

potential damage. The key themes in the report included:

 All AOC facilities are susceptible to water infiltration and damage. Facilities in the southwest area of the Capitol campus are most 

likely to be impacted from flooding and significant water infiltration due to its proximity to the 100-year and 500-year flood plain.

 All AOC facilities are susceptible to exterior envelope damage from multiple extreme weather impacts. While many facility exteriors 

are currently being actively evaluated or repaired, an exterior maintenance program and standard operating procedures should be 

developed and implemented for each facility.

 Many facilities, systems and specialized collections and spaces are insufficiently supported by standby power. Additionally, the 

locations of many emergency power systems are vulnerable to extreme weather.

As part of this study, the AOC developed a summary scorecard for each facility that shows the weather risks, possible courses of 

action and a cost model assessing an approximate cost for each course of action. The report also identified simple and immediate 

remediation efforts that could be taken to address many of these risks, including regular visual inspections and assessments, regular 

updates to preventive maintenance plans, improved standard operating procedures, and updated project identification and program 

development processes. The report concluded that while the evaluation process yielded useful action items, further study would be 

needed to prioritize resources to address these impacts and protect the agency’s critical facilities and the heritage assets therein.
Management’s Discussion and Analysis | SECTION 01 43

of incumbent staff, on-premises monitoring tools and external 

enterprise security services compose the AOC’s system monitoring 

and incident response capability. The AOC increased the operational 

technology systems posture by including enhanced industrial 

security controls in its security standard.

The AOC’s information systems and information system security 

programs are evaluated each year through independent 

assessments and multiple audits. These assessments and 

audits improve the AOC information system configurations, 

documentation and processes while mitigating identified security 

risks and weaknesses.

PROMPT PAYMENT ACT

The Prompt Payment Act requires certain federal agencies to pay 

their bills on time, pay interest penalties for late payments and 

take discounts only when payments are made by the discount date 

and the discount is economically justified. The AOC is exempt from 

the Prompt Payment Act. By policy, the AOC targets approval and 

payment of invoices within 30 days. The AOC uses Treasury’s IPP, 

a secure online tool, to assist in its invoice payment process. The 

IPP reinforces agency compliance with prompt payment business 

processes through invoice aging reports, configurable workflow 

escalation strategies and email alerts. 

OTHER LEGISLATION

See Section 04: Other Information for a summary of additional 

financial management legislation and their applicability to the AOC.

This fiscal year, the AOC neared completion of a major, multiphased 

project to renovate the Senate Underground Garage and Senate Park — 

the largest design-build project ever undertaken by the agency.

Enterprise Risk Management 

at the AOC

Strong risk management practices and internal controls help the 

AOC run its operations efficiently and effectively, report reliable 

information about its operations and financial position, and comply 

with applicable laws and regulations. The FMFIA requires federal 

agencies to establish internal controls that provide reasonable 

assurance that agency objectives will be achieved. OMB Circular 

A-123 offers detailed guidance for management’s responsibility 

for reporting and internal control. As a legislative branch agency, 

the AOC is not bound by the FMFIA or OMB circulars but adopts 

these requirements and guidelines as a best practice to meet 

three internal control objectives: effectiveness and efficiency of 

operations, reliability of reporting for internal and external use, and 

compliance with applicable laws and regulations. 

The AOC’s senior leaders work with the Risk Management Officer to 

establish a governance structure that effectively implements a robust 

process of risk management and internal control and to develop an 

enterprise risk profile. Successful implementation requires a transparent 

culture that encourages individuals to openly communicate about 

potential risks and other concerns. The AOC determined the best 

approach to incorporate risk management into the agency’s longstanding, risk-based business architecture and developed a specific 

ERM implementation plan for OMB Circular A-123 that incorporated a 

governance approach under the Risk Management Officer. 

In FY 2021, the Integrated Risk Management Division (IRMD) 

continued to mature its ERM implementation approach and processes. 

As part of the annual risk assessment process, IRMD also conducted 

a survey to identify and prioritize risks that could impact the AOC’s 

mission and strategic initiatives. The top-priority risks are defined in 

the Forward-Looking Information section on the following page. 

The Risk Management Officer meets regularly with senior leaders 

to discuss top risks that may impact the achievement of the AOC’s 

strategic objectives. Specifically, senior leaders are informed of 

risks to critical programs, systems, projects and priorities, including 

response strategies. The IRMD presents at the agency’s management 

meetings, which bring together senior leaders from each jurisdiction 

and central offices on a regular basis to share best practices and 

discuss risks. IRMD continues to work with senior leaders to monitor 

and annually update the AOC’s risk profile.
44 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Forward-Looking Information 

The AOC confronts unique challenges in fulfilling its mission. By 

identifying and defining the most difficult challenges facing the 

agency, the AOC can mitigate barriers to operational success and 

identify opportunities for improvement. At the close of FY 2021, AOC 

management identified seven management challenges. In addition, 

the AOC’s OIG identified seven management opportunities and 

performance challenges, three of which address issues similar to 

those identified by management. AOC management has reviewed 

the OIG’s recommendations and pledges to address the matters and 

take appropriate actions in a timely fashion. Together, these 11 areas 

comprise the major challenges facing the AOC. Figure 24 provides a 

combined summary of the opportunities and performance challenges 

identified by AOC management and the OIG. The OIG’s statement 

defining their identified management opportunities and performance 

challenges may be found in Section 04: Other Information.

In addition to these challenges, the AOC identified four priority 

risks facing the agency. These risks are identified and described in 

Table 15. The AOC prioritized the risks based on their likelihood of 

realization and potential mission impact.9

 An important component 

of the agency’s risk management approach is to ensure that top 

and emerging risks are identified, managed and incorporated to the 

AOC’s risk management processes as they evolve, so that mitigation 

plans may be developed promptly.

9 The AOC defines risk as the effect of uncertainty on objectives, either positive or 

negative. The AOC’s management challenges are the most serious issues facing 

the agency based on an analysis of the long-term operational, economic and 

demographic landscape. While there may be overlap between the agency’s 

risks and management challenges (which are discussed in detail in this section’s 

Forward-Looking Information and the Other Information section’s Inspector 

General’s Statement of Management Opportunities and Performance Challenges), 

they are not identical.

Backlog in Deferred Maintenance 

and Capital Renewal 

Challenge: The AOC’s mission includes preserving and maintaining 

the aging facilities of the Capitol campus. To meet this mission, the 

AOC performs proactive, routine maintenance on its facilities and 

equipment systems to minimize the likelihood of failure. If funds 

are not available to address the identified preventive maintenance 

needs, these projects may be deferred or delayed. This deferred 

maintenance may result in major damage to facilities, disruptions 

in service, even more costly repairs, and serious health and safety 

consequences. As of September 30, 2021, the estimated deferred 

maintenance and capital renewal backlog for the Capitol campus 

was $2.05 billion and 56 percent of the AOC’s major buildings 

were rated as either “poor” or “fair” condition. Of the total backlog, 

$914 million is required to improve “poor” and “fair” facilities to the 

minimum acceptable condition. 

AOC Initiatives: The AOC’s deferred maintenance and capital 

renewal backlog is the agency’s top enterprise-level risk and 

management challenge. Managing the deferred maintenance 

backlog requires significant planning. The AOC’s Line Item 

Construction Program (LICP) allows the agency to identify and 

prioritize needed projects for congressional funding consideration. 

In conjunction with this program, the agency uses a project charter 

process to identify the LICP project requirements as early as possible. 

To support future projects, the AOC developed a facility condition 

assessment (FCA) dashboard, allowing improved engagement with 

facility data, work elements, risk ratings and backlogs. This fiscal year, 

the AOC completed 12 FCAs to identify ongoing facility issues. The 

assessments provide the AOC with the Facility Condition Index (FCI), 

A detail of the exterior stonework condition of the Russell Senate Office Building. The Russell Exterior Envelope Project will help address the AOC’s deferred maintenance 

and capital renewal backlog, the agency’s most critical management challenge.
Management’s Discussion and Analysis | SECTION 01 45

FIGURE 24

Summary of AOC Management Challenges

MANAGEMENT CHALLENGE AOC 

MANAGEMENT AOC OIG

Backlog in Deferred Maintenance and Capital Renewal 

Campus Security 

Cybersecurity  

Energy Stewardship and Sustainability 

Management of Concurrent Construction Projects 

Attracting, Developing and Retaining a Skilled and Engaged Workforce / Human Capital Management  

Workplace Safety and Health / Balancing Safety, Security and Preservation  

Auditability and Records Retention 

Whistleblower Protections 

Working Capital Fund 

Waste and Accountability 

TABLE 15

Summary of Priority Risks

PRIORITY RISK DESCRIPTION

If the AOC is not resourced to adequately address its deferred maintenance and capital renewal backlog, continued deferral will 

increase the effort, time and costs required to preserve buildings and heritage assets and prevent system failures.

The IT services and functions that the agency relies upon to meet its mission may be at risk of failure and the agency may not have 

the capacity to adequately support critical areas. This risk could also limit system growth opportunities and prevent the agency from 

meeting key staffing requirements necessary to maintain IT services and functions.

If the AOC ITD does not receive adequate resources to provide the systems and personnel oversight of a sound cybersecurity program 

and provide more effective control of the decentralized IT components, the AOC is at an increased risk from external and internal 

cyber threats that could result in a disruption to the AOC’s operations.

If construction projects are not effectively planned, communicated and executed within the approved parameters (i.e., cost, schedule, 

safe delivery, high quality and minimal client disruption), then the AOC risks damage to effective project execution and stakeholder 

relationships. The construction projects include contractor-executed projects, Construction Division projects and jurisdictional inhouse projects.

In FY 2021, the AOC’s Integrated Risk Management Division issued an Enterprise Risk Assessment Survey to the C-suite and other agency managers to identify and rank the agency's 

current risks. The results of this survey will support the agency’s reprioritization activities and assist in identifying the risks that the agency will focus on in the near-term (12–18 months). 

In FY 2022, the Executive Risk Committee will review the survey results and reprioritize the identified risks. The new, reprioritized risks will be reported in the AOC’s FY 2022 PAR.

Deferred Maintenance 

and Capital Renewal

Funding for Information 

Technology Operations

Cybersecurity

Construction Project 

Management
46 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

an objective rating to benchmark a facility’s condition. Figure 25

shows the number and percentage of the AOC’s major buildings in 

each FCI category (i.e., poor, fair, good or very good) for the current 

year and the projected condition in five years (FY 2026), assuming 

no additional deferred maintenance funding. Current projections 

show the percentage of buildings in fair or poor condition to 

increase from 56 to 74 percent over the next five years, under such 

conditions. The AOC uses this data to plan for future work.

To aid in the development of preventive maintenance plans this 

fiscal year, the agency also initiated annual facility asset audits for 

the CVC, U.S. Capitol, Rayburn and O’Neill House Office Buildings, 

the USBG’s Conservatory and Production Facility, and the John 

Adams Building. In addition, the agency continues to ensure that 

its budget achieves a balance between operational needs and the 

deferred backlog. Of the $684.1 million the AOC received in regular 

FY 2021 appropriations, $205.9 million was for capital projects, 

including those that address deferred maintenance and capital 

renewal — nearly 30 percent of the total. This funding allowed the 

AOC to address deferred maintenance projects such as the Cannon 

Renewal, U.S. Capitol Building Exterior Stone and Metal Preservation 

Project, Russell Exterior Envelope Project, and Rayburn Garage 

Interior Rehabilitation Project. 

To guide its long-range planning, the AOC began developing 

the Vision 2100 Master and Strategic Plans this fiscal year. These 

documents will provide an 80-year vision for the Capitol campus and 

serve as a guide to the next Capitol Complex Master Plan (CCMP). 

The CCMP provides a 20-year strategy for infrastructure priorities, 

investments and projects and will inform subsequent five-year 

strategic plans — helping to ensure alignment between the AOC’s 

long-term and short-term infrastructure priorities. 

This fiscal year, the AOC also began planning for its EAM system. 

This system will aid the AOC in maximizing facility performance 

by analyzing facility conditions and streamlining maintenance 

activities at an enterprise level. These efforts will help optimize the 

AOC’s corrective and preventive maintenance needs, mitigating 

obsolescence and providing a system to forecast resource 

requirements, reduce costs and ensure their long-term viability.

Looking ahead, as the agency continues to develop the Vision 

2100 Master and Strategic Plans and EAM initiatives, the AOC will 

continue to identify, prioritize and manage its deferred maintenance 

and capital renewal needs. In its FY 2022 budget request, the AOC 

developed 15 LICP projects to address $137.9 million of the deferred 

maintenance and capital renewal backlog. The agency will also 

establish an annual facility equipment audit program to align with 

the FCAs. These audits will help to detect signs of equipment failure. 

Such efforts will help ensure that the AOC continues to explore ways 

to mitigate its deferred maintenance and capital renewal backlog 

in an innovative, strategic and cost-effective manner and that the 

backlog does not affect the AOC’s ability to provide safe, reliable and 

functional facilities for its tenants, the public and agency staff.

Campus Security

Challenge: Keeping the AOC’s physical infrastructure secure and 

accessible, coordinating construction security, managing personnel 

suitability and collaborating with external security partners — 

while also minimizing the impact of security protocols on those who 

work on the Capitol campus — is a crucial challenge. The events 

of January 6, 2021, were an unfortunate demonstration of how 

important Capitol campus security is, and how formidable this task 

can be.

AOC Initiatives: The AOC supports the USCP and its efforts to secure 

the Capitol campus through the maintenance, care and operation 

of USCP buildings and grounds and through the construction and 

maintenance of physical security enhancements across the Capitol 

campus. The AOC’s physical security initiatives and long-term 

programs support continuity of operations, critical infrastructure 

FIGURE 25

FCI Ratings by Major Building, FY 2021 (Actual) and FY 2026 (Projected)
Management’s Discussion and Analysis | SECTION 01 47

protection, congressional continuity, emergency management, 

employee and contractor suitability, construction project security, 

and support for the USCP. Following a six-month review, the AOC’s 

Reorganization consolidated all agency security and emergency 

service functions under a new Chief Security Officer.

As the AOC’s mission-critical infrastructure continues to age, its 

vulnerabilities increase. This fiscal year, the AOC collaborated 

with the USCP and the Sergeants at Arms on a phased project 

to repair and replace security barriers and kiosks, upgrade the 

West Front lighting, and develop the requirements for enhanced 

screening vestibules at the North and South Entrances to the U.S. 

Capitol. Following January 6, 2021, the agency carefully assessed 

the damage to its historic facilities and marshaled its staff of 

conservation professionals to treat and maintain the U.S. Capitol’s 

historic fabric and artworks. The Senate and House Appropriations 

Committees approved a $30 million internal transfer to address the 

initial security costs for the temporary perimeter fencing requested 

by the USCP and support for the National Guard. 

At the direction of the Speaker of the House, Lieutenant General 

Russel L. Honoré, USA (Retired) led a nonpartisan, six-week review 

to identify immediate or near-term actions that could be taken to 

improve Capitol campus security. See Table 16 for excerpts from 

the task force’s recommendations relevant to the AOC. In July 2021, 

Congress passed an emergency security supplemental appropriation 

that provided the AOC with $300 million to implement the task 

force’s recommendations to upgrade windows and doors and install 

new security cameras.

TABLE 16

Task Force 1-6 Capitol Security Review 

(Honoré Report) Recommendations

CATEGORY SUMMARIZED RECOMMENDATIONS

Capitol Fencing and 

Infrastructure Improvements

Replace temporary fencing with a mobile fencing 

option and an integrated, retractable fencing system 

to secure the U.S. Capitol Building and congressional 

office buildings.

Mobility Within the Capitol 

During Emergencies

Install means to selectively compartmentalize areas 

of the Capitol campus.

Background Checks Review screening procedures and the use and 

application of background checks.

Screening Portals and 

Access Points

Expedite the procurement of screening vestibules for 

the U.S. Capitol’s South and North Entrances, expand 

the procurement to include other buildings where 

needed, and expedite the repair and hardening of 

vulnerable windows and doors.

House Information 

Technology Systems 

and Cybersecurity

Centralize IT authority to minimize cybersecurity risks 

and provide comprehensive oversight.

USCP Command Center and 

Infrastructure Requirements

Renovate or replace the USCP headquarters and 

Command Center facilities to accommodate 

adequate primary and alternate command, control 

and coordination functions.

The AOC’s OIG, in coordination with OIGs from other agencies, 

initiated a joint oversight project to study the events of January 

6, 2021. The project will provide an independent evaluation of 

the AOC’s security procedures, practices and internal policies. See 

Table 17 for a summary of the first three reports to the AOC.

TABLE 17

AOC Office of Inspector General Reports*

OIG REPORT REPORT SUMMARY

Evaluation of the Architect 

of the Capitol’s Emergency 

Preparedness Posture 

(February 5, 2021)

The AOC emergency incident drills, exercises and 

training were generally effective with minor gaps in 

policy, training preparation and exercise evaluation 

activities. The AOC’s efforts to prepare for, respond 

to and recover from the COVID-19 pandemic allowed 

for efficient and sustained operations across the 

Capitol campus and successfully supported the 

ongoing operations of Congress, the Supreme Court 

and the AOC workforce. However, the following 

weaknesses were identified: the AOC jurisdictional 

preparation and participation in multijurisdictional 

emergency management training was not always 

consistent; the AOC lacked a standardized emergency 

management training evaluation process; and the 

AOC organizational Emergency Action Response 

Plans (EARP) were not consistently updated and 

aligned with the AOC Base EARP in policy structure 

and guidance. 

AOC’s Emergency 

Preparedness Ahead of the 

January 6, 2021, U.S. Capitol 

Event (April 27, 2021)

Before the events of January 6, 2021, the AOC’s 

emergency preparedness posture had gaps in policy 

and training preparation.

Independent Assessment of 

the AOC’s Role in Securing 

the Capitol Campus for 

Large Public Gatherings 

(May 5, 2021)

The AOC has an important role in the execution of 

operations to secure the Capitol campus during 

large public gatherings. However, the AOC’s role 

and responsibilities for the preparation of security 

plans for large public gatherings is limited. It would 

be prudent for the AOC to perform the following: 

coordinate with other stakeholders to reevaluate 

the responsibilities for design, installation and 

maintenance of the security systems for the Capitol 

campus; determine who should execute the 

responsibilities; and inform the USCP of deferred 

security maintenance work elements before large 

public gatherings and events to ensure adequate 

preparation for securing the Capitol campus.

*For the full text of the OIG reports, see www.oversight.gov.

Following the breach of the U.S. Capitol on January 6, 2021, National 

Guard troops were stationed on the Capitol campus for more than 

four months.
48 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

The AOC initiated a comprehensive, Capitol campus physical 

assessment this fiscal year. The assessment team is evaluating 

physical security options and the related engineering requirements 

to ensure the overall security of the Capitol campus. The results of 

the assessment will allow the AOC to provide Congress with budgetlevel details for necessary security improvements. The assessment is 

critical to making informed decisions. The Architect of the Capitol is 

also working with Congress to ensure that the Capitol Police Board 

is more transparent and accountable, and the AOC is taking steps 

to ensure better coordination and training for emergency exercises 

on the Capitol campus. These efforts aim to mitigate future threats 

to the Capitol campus and allow the U.S. Capitol to remain a secure 

place for Congress and the American public.

Cybersecurity

Challenge: As demonstrated by recent, serious cyberattacks in 

the United States, the security of information systems and data is 

one of the largest challenges that federal agencies, state and local 

governments and private entities face. The AOC is not an exception 

and, as indicated in a new enterprise risk assessment this fiscal 

year, cybersecurity is ranked as its third-highest agency risk. The 

AOC’s various information systems are vital to the continuity of AOC 

operations and providing security and safety on the Capitol campus. 

Any breach of the AOC’s systems could potentially compromise 

sensitive information, affect service delivery and hinder the safety 

and security of those who work on and visit the Capitol campus.

AOC Initiatives: Safeguarding and protecting the AOC’s information 

systems in an effective and efficient manner are critical to the 

agency’s mission success. To address the threat of a cybersecurity 

breach and to secure sensitive material about the Capitol campus, 

the AOC maintains a robust cybersecurity program. The agency also 

works closely with other federal agencies via the Legislative Branch 

Chief Information Council and Legislative Branch Cybersecurity 

Working Group to develop and maintain a comprehensive security 

posture. Based on this year’s enterprise risk assessment, the AOC is 

updating its vulnerability management processes.

The agency’s training and testing controls and procedures allow the 

AOC to effectively detect, report and respond to security incidents. 

The AOC was the first legislative branch agency to deploy two-factor 

authentication for system access. In addition, the AOC requires 

all employees and contractors with access to the AOC network to 

complete an annual computer security awareness training. This 

training is based on the understanding that users are the most 

vulnerable point in information systems security and that increasing 

user awareness mitigates security risks. 

This fiscal year, the AOC increased its number of information security 

officers and invested in additional security applications. To address 

the ever-changing threat, the AOC ensures that its systems have the 

most up-to-date protections and patches and physical protection 

measures, such as isolated industrial control systems for the Capitol 

Power Plant and Capitol campus buildings. 

The AOC continuously identifies new areas requiring further oversight 

and direction. To keep its security program current, the agency’s 

information systems are evaluated annually through independent 

assessments and audits. The AOC also continues to improve the 

classification and protection of sensitive information (e.g., facility 

drawings or building systems information) from public disclosure, 

including employee training on controlled unclassified information.

Energy Stewardship and Sustainability

Challenge: The AOC strives to maximize energy savings throughout 

the Capitol campus and in all of its improvement projects. Although 

the AOC’s facility portfolio is largely composed of historic buildings 

that were not built to modern energy usage standards, the AOC has 

focused on improving the facilities’ energy conservation capabilities. 

Past conservation projects have allowed the AOC to meet each of its 

energy reduction targets. However, these energy savings were the 

result of projects that addressed the Capitol campus’ largest energy 

usages. Further energy reduction opportunities will be scarcer and 

costlier to achieve. 

AOC Initiatives: In FY 2021, the AOC met its energy reduction goals to 

achieve a 42 percent energy reduction and a 35 percent greenhouse gas 

emissions reduction. Through FY 2020 the AOC was the third highest 

performing federal agency with respect to energy conservation. The 

AOC has achieved the government leading levels of energy savings 

through a focus on facility energy systems, infrastructure assets and 

training technicians to efficiently manage systems.

With regard to infrastructure, the AOC continued the multiyear 

Refrigeration Plant Revitalization project, which upgrades 

outdated and inefficient equipment at the Capitol Power Plant. This 

multiphase effort is projected to be completed in FY 2025, pending 

funding for the later phases. As part of this project, in FY 2021, the 

agency repaired two cooling towers and installed a new electrical 

switchgear to increase system reliability. The agency is also working 

on a comprehensive Utility Master Plan for the Capitol campus. This 

plan will provide a road map of projects and priorities to support a 

reliable, resilient and sustainable utility system infrastructure and 

is scheduled to be completed in FY 2022. See Capitol Highlights: 

Utility Master Plan for Sustainable Energy. 

The implementation of the energy savings performance contract at the 

Library Buildings and Grounds jurisdiction helps the AOC to build on its 

energy savings. These efforts include the installation of energy-efficient 

lightbulbs in the Thomas Jefferson Building.
Management’s Discussion and Analysis | SECTION 01 49

The AOC continues to use energy savings performance contracts 

(ESPC) to maximize energy cost savings and efficiency. These 

contracts are public-private partnerships that allow the AOC to 

initiate energy savings projects with little up-front investment. In 

prior fiscal years, the AOC implemented three ESPCs in the U.S. 

Capitol and the House and Senate office buildings, resulting in 

more than $10 million in annual savings. Building on this strategy, 

the agency is implementing an ESPC for the Library of Congress 

facilities managed by the AOC. This multiyear effort is planned for 

completion in FY 2022. Through energy cost savings achieved by 

installing energy efficient systems, such as lighting, motors, HVAC 

controls and water conservation improvements, the project payback 

period is calculated at 17 years.

For more information, see the Energy and Sustainability 

Performance Management Report located in Section 04: 

Other Information.

Management of Concurrent 

Construction Projects

Challenge: To meet the infrastructure needs of the Capitol campus, 

the AOC simultaneously manages and executes multiple highly 

visible, large-scale and long-term projects. In FY 2021, these 

included the Cannon Renewal, the Russell Exterior Envelope Project, 

the Capitol Power Plant’s Refrigeration Plant Revitalization, and 

the Capitol Exterior Preservation — Stone and Metal Project. To 

deliver these projects safely, cost effectively and on time, the AOC 

must balance schedules, costs and risks over numerous project 

phases, while minimizing disruptions to daily facility operations 

and sustaining the requisite administrative support to handle the 

increased construction activity.

AOC Initiatives: The AOC continues to modernize its project 

planning tools — especially its technology — and enhance 

management processes to ensure the effective delivery of its 

design and construction projects. This fiscal year, the AOC initiated 

approximately 100 projects using the new e-Builder PMIS. The 

transition from the agency’s outdated system to the e-Builder 

system enables effective management of both design and 

construction, while providing project managers with more accurate 

costs, schedules, resources, data analytics and other essential project 

execution data.

Other efforts included a pilot program for long-range site planning 

at the Thomas Jefferson Building. This program engaged the Library 

of Congress stakeholders with the AOC’s project managers and 

jurisdiction leadership in bimonthly meetings to identify anticipated 

project conflicts and coordination needs. Additionally, the agency 

geolocated and mapped the requirements identified in FCAs for 

planned LICP projects at the U.S. Capitol Building and the U.S. 

Capitol Grounds over the next five years.

The AOC will continue to prioritize critical centralized services and 

personnel that directly support its infrastructure projects. However, 

with a surge in major projects over the past several years, staffing is 

a constant issue — especially in regard to project studies, planning, 

design and development, construction oversight and management. 

To overcome this staff shortfall, the agency has increased the use 

of temporary project-funded staff, including project managers, 

construction managers and inspectors. However, these are not 

S E N AT E U N D E R G R O U N D G A R A G E 

AND LANDSCAPE RESTORATION

This fiscal year, the AOC neared completion of a major, 

multiphased project to renovate the Senate Underground 

Garage and Senate Park — the largest design-build project ever 

undertaken by the agency. The project includes rehabilitating 

the garage, central fountain, reflecting pool, planters and the 

surrounding pavement; restoring the area’s exterior stonework 

and plaza walkway; repairing the 20-foot underground garage 

south wall; and waterproofing and repairing the fountains and 

upper plaza and the pedestrian tunnel under Delaware Avenue.

The Senate Underground Garage reopened for parking in 

January 2021, with the fit-out of the garage office spaces and 

the restoration of the upper and lower plazas, stormwater 

retention system, reflecting pool and south lawn to be 

completed in FY 2022. Throughout the project, the AOC has 

strived to preserve the historic character of Senate Park, taking 

great care to maintain the original granite walls and walkways, 

light standards and stone benches. The AOC also planted 

new landscaping that honors the park’s original design.

The project will successfully mitigate water damage to the 

Senate Underground Garage and restore the Senate Park to 

its original splendor. The restored landscape is also being 

renewed with an expected life of 50 or more years and in a 

manner that will facilitate future waterproofing repair projects.

www.aoc.gov/what-we-do/projects/senate-underground-garageand-landscape-restoration

CAPITOL

HIGHLIGHTS
50 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

permanent solutions. To that end, the agency created and filled new 

program management and construction management supervisory 

positions. The AOC must also evaluate the effects of the COVID-19 

pandemic on its on-site project staffing decisions to keep staff, 

contractors and building occupants safe.

This fiscal year, as part of the agency’s Reorganization, the AOC 

established the Building Official program initiative to guide and 

enforce facility codes for the agency’s construction portfolio. Under 

this initiative, the Building Official program will track all construction 

and infrastructure work in a centralized data system, allowing 

for the independent verification that construction projects meet 

established building codes and enterprise facility standards.

Looking forward, the AOC will continue to implement and centralize 

its PMIS and processes, focusing on the integrated coordination of 

the agency’s capital project portfolio and using its project data to 

inform evidence-based decision-making. These efforts will increase 

the AOC’s understanding of project and program interdependencies 

and improve the life-cycle management of the agency’s 

physical assets.

Attracting, Developing and Retaining a 

Skilled and Engaged Workforce

Challenge: Attracting and retaining a strong workforce is essential 

to carrying out the AOC’s mission. The agency must recruit 

dedicated, highly specialized tradespeople and professionals who 

can often earn higher wages in the private sector. Adding to this 

challenge is the aging demographic of the AOC’s current workforce, 

which has a median age of 49 years. The number of employees 

approaching retirement age raises concern about the loss of 

institutional knowledge that is critical to the agency’s succession 

planning and continuing ability to meet its mission.

AOC Initiatives: The AOC is committed to identifying current and 

future workplace priorities, improving succession planning, and 

supporting employee growth and development by strengthening 

access to skills training and educational resources. These commitments 

guide the AOC to attract and retain skilled individuals and develop 

a pipeline of internal candidates for open positions, which bolsters 

succession planning and ensures that the agency maintains sufficient 

personnel to meet current and future staffing demands.

In FY 2021, the AOC initiated a Human Capital Strategy initiative — 

part of the agency’s organizational transformation — to ensure 

workforce readiness, close skills gaps through employee 

development, and maximize employee talents, skill sets and 

competencies. This effort was led by the newly created Human 

Capital Strategy core team and a cross-functional working group. 

Through interagency data-gathering initiatives — such as employee 

focus groups and extensive interviews with AOC leadership — 

these teams identified a range of recruitment challenges in skilled 

trade and competitive labor markets. Recruiting for skilled trade 

positions was identified as a key focus area in the Human Capital 

Strategy, and the AOC began to address this in FY 2021 by revisiting 

prior educational partnerships and reestablishing agreements and 

apprenticeship programs. The summer internship program, another 

pipeline to attract and recruit aspiring and talented young workers 

to the agency, resumed in a limited capacity in FY 2021 after being 

canceled in 2020 due to COVID-19.

To foster the development of its current workforce, the agency laid 

the groundwork for AOC University, an agencywide initiative to 

provide training, education, professional development and career 

advancement opportunities to existing employees. To maintain 

benefits commensurate with developing workplace trends, the 

agency updated its telework policy and made permanent some 

of the workplace flexibilities that were successfully implemented 

during the pandemic. Additionally, the agency developed in-house 

The AOC simultaneously manages multiple highly visible, large-scale and long-term projects, such as the renewal of the Cannon House Office Building, shown here.
Management’s Discussion and Analysis | SECTION 01 51

training capabilities, which allow the AOC to tailor courses to the 

specific needs of the agency and provide AOC employees with the 

skills and knowledge to perform their work safely and meet the 

agency’s mission. 

Workplace Safety and Health

Challenge: The AOC is responsible for ensuring a safe and healthy 

environment for all who work at or visit the Capitol campus. 

To uphold health and safety standards, the agency integrates 

emergency preparedness measures, fire and life-safety planning, 

and environmental compliance into its daily operations and largescale projects. Meeting the safety requirements of the Capitol 

campus, while simultaneously providing access to public buildings 

and preserving the historic and architectural integrity of AOC 

facilities, is a significant management challenge. This challenge has 

been compounded by the COVID-19 pandemic.

AOC Initiatives: Fostering and sustaining a robust safety culture and 

continually integrating precautionary measures into its operations 

and construction projects is one of the AOC’s top priorities. This 

culture includes design reviews, fire and life-safety code compliance, 

fire alarm testing, walk-through inspections, construction 

specifications and hazardous waste management.

The agency’s top workplace safety and health management 

challenge was the implementation of COVID-19 pandemic response 

and mitigation measures. The AOC provided enhanced cleaning 

services for rooms and offices deemed high-risk by the OAP and 

acquired the necessary personal protective equipment for the entire 

legislative branch. The agency also adapted its work procedures 

to maximize safety, including telework and alternating on-site 

schedules, as well as requiring face coverings and social distancing 

for its on-site employees. To ensure the AOC was observing the most 

up-to-date, fact-based guidance, the agency maintained pandemic 

data and guidelines from the World Health Organization, CDC and 

other sources. The AOC’s Office of Safety and Code Compliance 

sent 256 daily COVID-19 reports to the C-suite and the Office of 

the Chief Security Officer sent situation reports to congressional 

leadership regarding the AOC’s health and operating status. AOC 

leadership received weekly pandemic briefings that included 

vaccine status and availability, local virus transmission statistics, and 

other relevant information. To ensure the safety of all personnel 

required to work on-site, the agency created and updated pandemic 

guidance and recommended controls for employees requiring 

special accommodations.

The AOC has launched a Building Official program to oversee code 

compliance for AOC-managed facilities and activities, providing a 

means to ensure industry standards are met for life-safety, building 

safety and service quality. The AOC is also developing a full suite 

of safety-related training programs with the help of a new training 

specialist, allowing courses to be tailored to specific agency needs. 

These initiatives provide consistency to the adherence of safety 

measures across the agency.

Looking ahead, the AOC will continue providing quality assurance 

for safe project design and construction. Planned efforts include 

standardizing the design review process, permit applications and 

issuances, and inspection cycles. The agency is also establishing 

and refining metrics that better assess the effectiveness of safety 

programs, identify improvement opportunities and assure agency 

code compliance.

Every four years, the AOC is responsible for constructing the presidential 

inaugural platform on the U.S. Capitol Building’s West Front. Shown 

here, Architect of the Capitol J. Brett Blanton (left) inspects the 

construction site.
52 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

THE YEAR

IN PHOTOS

From the day-to-day activities of the AOC to major projects and special events, our 

photographers document the agency’s mission. These photos depict the fiscal year at the AOC.

The AOC supported lying in honor ceremonies for two U.S. Capitol Police officers in FY 2021.

A view of the U.S. Capitol Crypt.

An AOC employee repairs the stone entranceway of the 

Cannon House Office Building.

The AOC constructed the platform for the 59th Presidential Inauguration.
Management’s Discussion and Analysis | SECTION 01 53

The AOC completed the election-year office moves for the 117th Congress.

An AOC gardener inspects plants on the 

Capitol campus.

The USBG offered more than 170 virtual programs and field trips during the 

fiscal year.

The U.S. Forest Service donated historic lumber to repair damage to the U.S. Capitol.

An AOC woodworker prepares the replacement doors for the U.S. Capitol.

An AOC employee cleans graffiti off the Peace Monument on 

the U.S. Capitol Grounds.
54 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Members of Congress, the U.S. Capitol Police and other police and 

military personnel pay their respects in the Rotunda of the U.S. 

Capitol Building during the lying in honor ceremony of Officer Brian D. 

Sicknick, who died following injuries sustained in the line of duty on 

January 6, 2021.
SECTION 02 55

P E R F O R M A N C E 

INFORMATION

Introduction

This section presents the AOC’s performance and progress toward 

achieving the goals identified in the AOC Strategic Plan FY 2017–

2021. FY 2021 was the fifth and final year the AOC operated under 

this plan. The Strategic Plan defines four strategic goals that focus 

the AOC’s efforts to execute its mission, leverage core competencies, 

and pursue the agency’s vision as a trusted partner of Congress 

and the Supreme Court. The first two goals, Maintain Awe-Inspiring 

Facilities (AIF) and Provide Extraordinary Services (ES), are programoriented and align with the agency’s core mission areas. The 

next two goals, Foster an Innovative and Empowered Workforce 

(IEW) and Operate as One Team, Dedicated to One Mission 

(OTOM), are values-focused and support employee engagement 

and accountability as well as promote a culture of innovation, 

collaboration and safety. 

The Strategic Plan defines the agency’s strategic performance 

framework, including the goals and the accompanying strategic 

objectives that reflect the outcomes or impacts the AOC strives 

to achieve. Key performance indicators (KPI) allow the AOC 

to measure performance against specific targets and monitor 

progress toward meeting the strategic objectives and goals. 

The AOC’s annual Performance Plan lays the foundation for the 

agency’s long-term success and provides a governance framework 

to support effective C-suite engagement. The AOC refreshes 

its Performance Plan annually to adapt its approach based on 

performance reviews and changes in internal and external 

operating environments. In FY 2021, seven initiatives were added 

to the Performance Plan to guide the agency as it develops its next 

Strategic Plan. For more information on the AOC’s Strategic Plan, 

see: www.aoc.gov/publications. 

In late FY 2021, the AOC developed a bridging strategy as part of 

the agency’s organizational transformation and adoption of new 

ASI. A bridge Strategic Plan will be in effect with the start of FY 2022 

and will maintain the agency's strategic goals and initiatives until 

the next five-year Strategic Plan is completed. Once adopted, the 

new five-year Strategic Plan will build on the successes of the 

AOC Strategic Plan FY 2017–2021 by including strategic goals and 

objectives that further the AOC's ability to meet its mission.

PERFORMANCE MANAGEMENT

As a legislative branch agency, the AOC does not have mandated 

performance reporting requirements, though it uses this report to 

publish its performance results for transparency and accountability. 

The AOC is not required to submit its performance results to the 

Office of Management and Budget (OMB), and this Performance 

Information section is not linked to the executive branch’s 

performance and accountability website, www.performance.gov. 

Similarly, the AOC does not contribute to the OMB’s Cross-Agency 

Priority (CAP) Goals. 

This section lists each strategic goal with its associated strategic 

objectives and KPIs. Each KPI includes a definition, a target, currentyear results, five prior years of trend data (when available) and 

data sources. As identified in Table 18, the AOC measured 19 KPIs 

in FY 2021, aligned with eight strategic objectives. The KPIs are 

measured with data as of the end of the fiscal year. No KPIs were 

aligned to the Operate as One Team, Dedicated to One Mission 

strategic goal in FY 2021. The agency’s FY 2021 Performance 

Plan focused on streamlining its KPIs so that those reported were 

quantifiable and showed progress towards meeting the AOC’s 

mission. As the new Strategic Plan is developed, the AOC is defining 

TABLE 18

Strategic Objectives and Key Performance Indicators 

by Strategic Goal

STRATEGIC GOAL

STRATEGIC 

OBJECTIVES

KEY PERFORMANCE 

INDICATORS

Maintain Awe-Inspiring Facilities 2 11

Provide Extraordinary Services 1 2

Foster an Innovative and Empowered 

Workforce 3 6

Operate as One Team, Dedicated to 

One Mission 2 0

Total 8 19
56 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

strategic goals, objectives, and strategies that reflect the AOC’s 

mission and KPIs that provide meaningful performance data. 

As shown in Figure 26, the AOC met the performance targets for 11 

of 19 KPIs and did not meet the target for eight KPIs in FY 2021.

COVID-19 Pandemic and Agency Performance

The AOC successfully continued facility operations and delivered 

quality projects in FY 2021, while maintaining rigorous adherence to 

COVID-19 safety protocols. Although the Capitol campus remained 

open for congressional Members, staff and official visitors, it was 

closed to the public for the entire fiscal year. In FY 2021, the AOC 

minimized its on-site staff and maximized its use of telework to 

protect the health and well-being of its employees, visitors and 

building occupants, while continuing to provide essential services 

for the Capitol campus. The AOC also maintained sufficient staff that 

could be recalled to backfill employees who might become ill or 

need to be quarantined. In addition, the agency implemented social 

distancing procedures to protect employees and contractors on its 

construction projects. 

For FY 2021, the AOC reduced the number of KPIs from 42 to 19 

— a net reduction of 23. Nearly three-quarters of this reduction 

stemmed from the AOC’s decision to decline participation in the 

Federal Employee Viewpoint Survey, which eliminated 17 KPIs across 

a variety of areas such as safety, security, communication and human 

capital management. Additional KPIs dropped from the previous 

year were removed because of COVID-19 pandemic restrictions 

(e.g., the TripAdvisor Ratings and the Business Units that Conducted 

Emergency Exercises indicators). Further, as a result of the AOC’s 

Reorganization, a thorough review of the AOC’s strategic vision, core 

values and strategies streamlined the KPIs being measured to focus 

on core mission areas like construction, sustainability and safety.

Data Validation and Verification 

The AOC is committed to ensuring the completeness, reliability, 

usefulness and quality of the performance data included in the PAR 

and has mechanisms in place to validate and verify the accuracy of 

reported information. These efforts primarily entail regular agency 

assessments that address standards and processes, data entry, 

transfer, integrity, limitations and governance. The assessments 

occur frequently in the development stages of dashboards and 

management reports to mitigate errors before deployment, as 

well as to confirm the usefulness of the data in decision-making. 

Subject matter experts and agency executives conduct data-driven 

meetings to evaluate performance. The AOC’s data validation and 

verification includes:

 Use of applied measurement techniques to identify sources, 

validate data and generate meaningful information 

 Identification and implementation of authoritative sources, 

calculations and standards 

 Use of automated data collection systems 

 Use of automated and manual data checking procedures 

 Analysis of data and identification of possible discrepancies 

for resolution 

 Implementation of controls such as restricting permissible values, 

flagging outliers for review and visualizing results

 Review by data owners, data users and subject matter experts 

 Deployment of enterprise tools for standardized reporting 

 Review and discussion of performance results with the senior 

leadership 

 Improvement of data integrity by ensuring internal reports and 

dashboards use the same data sources and support calculations 

The long-term goals described in the AOC’s Strategic Plan inform the 

annual KPIs included in this report. The AOC maintains documentation 

for each KPI. This documentation includes a description of the KPI’s 

relevance, data source and owners, underlying calculations, data 

validation steps, definitions of relevant terms and a summary of data 

limitations and risks that might impair accuracy. The AOC uses this 

information to improve the validity, accuracy and depth of the data 

used to measure performance. Corporate performance dashboards 

allow the AOC to assess performance, ensure data quality and enable 

the automated reporting of analytics with authoritative data. To 

improve the reliability of its performance data, the AOC certifies data 

sources, performs quality checks of indicator outputs, and uses the 

dashboard software to flag input errors and execute test calculations. 

In FY 2021, the AOC was not required to have, nor did it fund, 

research or program evaluations related to the agency’s program 

performance. As a result, this report does not include evaluation 

findings. However, because of continued operational impacts 

resulting from COVID-19 and the desire to streamline the agency’s 

performance measurement on core mission tasks, the AOC 

conducted an internal review of all KPIs to assess execution status, 

performance impacts and data availability. The AOC achieved 

this through interviews with the C-suite, reviews of delayed 

activities and assessments of indicators within the AOC’s Corporate 

Performance Dashboard.

Key to Performance Results:

Target Met | Target Not Met

FIGURE 26

Key Performance Indicator Results
Performance Information | SECTION 02 57

STRATEGIC GOAL 1

Maintain Awe-Inspiring Facilities

GOAL DEFINITION

The AOC’s mission centers on its stewardship of the buildings, 

structures and grounds of the Capitol campus. It is the AOC’s 

duty to ensure that every visitor to Capitol Hill experiences the 

grandeur of these historic treasures at their very best.

The AOC’s first strategic goal focuses on the core mission 

responsibilities to operate, manage and preserve the iconic buildings, 

grounds and heritage assets of the Capitol campus. Under this 

goal, the AOC supports congressional and Supreme Court of the 

United States operations through the provision of effective facilities 

management, project delivery, cultural preservation and related 

services. The agency employs experts in tradecrafts who work to 

balance the agency’s unique responsibility of preserving historic 

buildings while meeting modern workforce needs. As part of this goal, 

the AOC develops sustainability practices for the Capitol campus — 

which includes the Capitol Power Plant — that significantly reduce 

the agency’s energy usage and save millions of taxpayer dollars. In 

addition, this goal prioritizes deferred maintenance and essential 

capital renewal projects. This strategic goal includes two multiyear 

strategic objectives designed to help the AOC:

 Reliably deliver high-quality capital projects 

 Preserve, maintain and operate facilities and cultural resources at 

the highest levels 

To accomplish these objectives, the AOC strives to deliver all 

capital improvement projects on time, within budget, safely, with 

high quality and minimal disruptions to mission-critical client 

operations. The AOC also researches industry standards to inform 

the development of implementation plans for achieving desired 

performance levels for each key operational function.

The AOC monitored 11 KPIs for this strategic goal in FY 2021, the 

results of which are summarized in Figure 27. The agency met 

or exceeded its target for six KPIs and did not meet its target for 

five KPIs. 

Maintenance of the facilities under the AOC’s care requires specialized conservation treatments to maintain the historic fabric of the buildings. This fiscal year, the AOC 

began a plaster consolidation, ceiling regilding and mural restoration project in the U.S. Capitol's Senate Reception Room. 

FIGURE 27

Key Performance Indicator Results for Strategic Goal 1: 

Maintain Awe-Inspiring Facilities
58 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Projects Delivered On Time

MAINTAIN AWE-INSPIRING FACILITIES KPI 1

Planning, managing and delivering construction projects on 

established schedules enables the AOC’s customers — which 

include the U.S. Senate and House of Representatives — to carry 

out their missions effectively. The efficient delivery of new and 

rehabilitated facilities reduces resource demands and translates 

into higher operational effectiveness and lower costs. The AOC 

strives to strengthen, standardize and streamline its project 

delivery processes, roles and responsibilities. This is accomplished 

by defining and tracking project indicators, expanding the use of 

the Project Management Information System (PMIS); incorporating 

enhanced project planning and processes, managing roles and 

responsibilities through Responsible, Accountable, Consulted and 

Informed (RACI) matrices; and mitigating unplanned disruptions.

This KPI tracks the delivery of new construction projects within their 

established timelines. The AOC defines a project as on time if the 

forecast completion date is on or before both the external client 

delivery date and the current estimated completion date. Based on the 

prior fiscal year’s project data, over 75 percent of the AOC’s projects 

were on time. The AOC used the indicator baseline data and industry 

benchmarks to set a target at equal to or greater than 80 percent.

Performance Results: This fiscal year, as shown in Figure 28, the AOC 

did not meet its targeted performance, though it achieved an on-time 

rate of 78 percent for FY 2021. This result was only slightly above last 

year’s rate. The effect of COVID-19 and the events of January 6 limited 

access to the work sites and caused supply-chain issues, resulting in 

scheduling disruptions. In FY 2021, the AOC continued implementing 

PMIS for its project portfolio and conducted a two-day internal 

training session for agency employees involved in project delivery to 

ensure that its staff was aware of project management processes, 

procedures, resources and support organizations. The implementation 

of the new system will improve processes, project status and data 

collection regarding project execution and delivery. To strengthen 

accountability and transparency throughout the project life cycle, the 

AOC analyzed practices that led to unplanned disruptions and 

continued to define roles and responsibilities through RACI matrices. 

Target Not Met

FIGURE 28

Projects Delivered On Time

Definition: Number of construction projects delivered on time divided by 

total number of construction projects

Source: Project Management Information System, October 19, 2021

Target: ≥ 80% of projects are delivered on time 

TREND

After establishing a baseline level last year, the agency 

delivered 78 percent of its projects on time, falling short 

of its target.

TARGET NOT MET
Performance Information | SECTION 02 59

Projects Delivered Within Budget

MAINTAIN AWE-INSPIRING FACILITIES KPI 2

This KPI tracks the delivery of new construction projects within their 

established budget. A project is considered within budget if the 

remaining contingency after potential change orders is greater than 

or equal to zero and the forecast cost is less than or equal to the 

remaining contingency after change orders. Based on the prior fiscal 

year’s project data, over 91 percent of projects were within budget. 

The AOC used the baseline data and industry benchmarks to set a 

target at equal to or greater than 90 percent.

Performance Results: This fiscal year, as shown in Figure 29, the AOC 

did not meet its targeted performance, achieving 78 percent of 

projects within budget for the fiscal year. The effect of COVID-19 and 

the events of January 6 limited access to work sites and caused 

schedule delays, supply-chain complications and higher construction 

material and labor costs, resulting in greater costs than budgeted. In 

FY 2021, the AOC updated its risk assessment analysis and continued 

collaborating with other federal agencies for replacing its cost 

estimating software, which will allow improved project cost 

benchmarking and estimating accuracy. Target Not Met

Projects Delivered Safely

MAINTAIN AWE-INSPIRING FACILITIES KPI 3

This KPI tracks the safe delivery of new construction projects 

pursuant to Occupational Safety and Health Administration (OSHA) 

guidelines. Project safety is measured using the OSHA recordable 

incident rate: (number of injuries) × (200,000) / (total hours worked 

by employees). A project is considered safely delivered if the total 

recordable incident rate is less than or equal to 75 percent of OSHA’s 

industry average. The AOC’s FY 2020 project data showed projects 

at 83.4 percent of the industry average. The AOC used the baseline 

data and industry benchmarks to set a target of projects achieving 

80 percent or less of the industry average.

Performance Results: This fiscal year, as shown in Figure 30, the 

AOC’s projects with a recordable incident rate of 87 percent of the 

OSHA industry average, falling short of the targeted rate of 

80 percent or less. In FY 2021, the AOC developed a full suite of 

safety-related trainings and supported safety in projects, including 

the review of designs and specifications for fire protection, life-safety 

systems and environmental compliance. In response to the 

continuing COVID-19 pandemic, the agency developed an agile 

framework to maintain safe construction operations, including 

converting eligible staff to remote work, implementing staggered 

and alternating shifts, and maintaining procedures for construction 

site separation and worker distancing. Target Not Met

FIGURE 30

Projects Delivered Safely 

 

Definition: OSHA recordable incident rate = (number of injuries) x (200,000) / 

(total hours worked by employees)

Source: Number of injuries sent to the U.S. Department of Labor (DOL): HCMD, 

Employee Benefits and Services Branch, National Finance Center bimonthly 

information data file via ODS for the number of employees, October 22, 2021

Target: Recordable incident rate of ≤80% of OSHA’s industry average is achieved

TREND

The agency’s recordable incident rate of 87 percent fell 

short of its target.

FIGURE 29

Projects Delivered Within Budget

Definition: Number of construction projects delivered within budget 

divided by total number of construction projects

Source: Project Management Information System, October 19, 2021

Target: ≥ 90% of projects are delivered within budget

TREND

The agency delivered 78 percent of its projects within 

budget this fiscal year, falling short of its target.

TARGET NOT MET

TARGET NOT MET
60 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Reduce Cumulative Energy Intensity Use

MAINTAIN AWE-INSPIRING FACILITIES KPI 4

This annual KPI addresses the success of the AOC’s energy and 

sustainability program by measuring the cumulative reduction 

of energy use on the Capitol campus. Through FY 2015, the AOC 

achieved cumulative energy reductions of over 30 percent, as 

mandated under the Energy Independence and Security Act of 2007. 

This accomplishment capped 10 years of energy reductions by 

the AOC, saving the agency over $94 million. Starting in FY 2016, 

to build on its progress, the AOC targeted an additional 2 percent 

reduction per year over the next 10 years (i.e., the 32 percent target 

for FY 2016 increased to 42 percent for FY 2021 and will ultimately 

reach 50 percent in FY 2025). This indicator is designated as a highlevel KPI for the AOC.

Performance Results: This fiscal year, as shown in Figure 31, the 

AOC met its targeted performance, achieving a cumulative 

reduction of 48.8 percent. Completed energy savings performance 

contract (ESPC) projects in the U.S. Capitol Building and the House 

and Senate office buildings continue to provide energy and water 

savings for the Capitol campus. Further savings resulted from 

retro-commissioning mechanical systems and improving building 

system monitoring. The implementation of large-scale Capitol 

campus infrastructure projects, such as the Cannon Renewal and 

the ongoing ESPC at the Library Buildings and Grounds 

jurisdiction, will help the agency to build on these energy savings. 

In FY 2021, the AOC met its targeted performance, though the 

cumulative performance was down 2 percentage points from the 

previous fiscal year. This was due to routine maintenance on the 

Cogeneration Plant, which caused it to be offline more frequently, 

and the implementation of HVAC operational changes related to 

COVID-19 best practices to increase building ventilation rates and 

raise filtration levels. In addition, the AOC’s facilities required 

increased electric usage during the second half of FY 2021 as more 

building occupants returned to on-site work at the Capitol 

campus. Target Met

FIGURE 31

Reduce Cumulative Energy Intensity Use 

 

Definition: BTUs divided by buildings’ gross square feet

Source: Utility bills, November 3, 2021

Target: Reduce cumulative annual energy intensity use an additional 

2% (42% target for FY 2021)

 

TREND

The agency's performance exceeded its target for five of 

the past six fiscal years.

TARGET MET

In FY 2020, the AOC had one KPI that addressed energy 

and sustainability targets with five components: reduce 

energy intensity use, reduce potable water use, divert building 

occupancy waste, compost nonconstruction waste and divert 

construction and demolition debris. Each component had its 

own target, and the previous KPI required the AOC to meet 

all five targets. For FY 2021, the AOC disaggregated the KPI 

into five separate performance indicators (AIF KPIs 4-8). This 

change facilitates the management and tracking of these 

sustainability programs. 
Performance Information | SECTION 02 61

Reduce Potable Water Use

MAINTAIN AWE-INSPIRING FACILITIES KPI 5

This KPI measures the AOC’s cumulative reduction of potable water 

use on the Capitol campus. According to the U.S. Environmental 

Protection Agency, increasing usage of water resources has led to 

greater water scarcity and a growing demand for high-quality water. 

This KPI measures the AOC’s sustainable water usage. The target 

calls for an additional 2 percent reduction from the prior year. The 

26 percent target for FY 2020 increased to 28 percent for FY 2021.

Performance Results: This fiscal year, as shown in Figure 32, the 

AOC met its targeted performance, reducing potable water usage by 

53.4 percent. The AOC focused on water consumption and 

continued to reconcile water usage, malfunctioning meters and 

billing. The agency also initiated a potable water survey to help 

reduce costs, improve efficiency and quantify savings. Current water 

reduction figures are significantly higher than the previous years, 

primarily based on the low building occupancy rate during the 

COVID-19 pandemic. The agency expects the water use figures to 

increase to prepandemic levels as occupancy of the buildings 

increase postpandemic. Target Met

Divert Building Occupant Waste

MAINTAIN AWE-INSPIRING FACILITIES KPI 6

This KPI measures the amount of building occupant waste the AOC 

diverted from landfills for recycling, including paper, bottles, cans, 

printer cartridges and decommissioned computer equipment. The 

target calls for diverting an additional 2 percent of waste from the 

prior year. The FY 2020 target of 48 percent increased to 50 percent 

for FY 2021.

Performance Results: This fiscal year, as shown in Figure 33, 

the AOC did not meet its targeted performance, diverting just 

34 percent of waste produced. The volume of recycled paper, the 

largest contributor to recycled building occupant waste, was down 

significantly from prior years due to the limited number of on-site 

staff. During the pandemic, significant amounts of used personal 

protective equipment entered the waste stream. Finally, significant 

nonrecyclable building occupant waste was generated by the 

increased security forces on the Capitol campus between January 

and May 2021. The AOC expects its recycling rates to normalize once 

building occupancy returns to prepandemic levels. Target Not Met

FIGURE 32

Reduce Potable Water Use 

 

Definition: Water usage divided by building’s gross square feet

Source: Utility bills and meters, November 3, 2021

Target: Reduce cumulative annual potable water use an additional 

2% (28% target for FY 2021)

 

 

TREND

The agency's performance exceeded its target for all five 

fiscal years it has measured water use.

TARGET MET

FIGURE 33

Divert Building Occupant Waste

 

Definition: Occupant waste diverted divided by total occupant waste

Source: OCE Sustainability Information Management System, October 29, 2021

Target: Divert cumulative annual building occupant waste an additional 

2% (50% target for FY 2021)

 

TREND

The agency’s recycling performance has missed its 

target for the past three fiscal years.

TARGET NOT MET
62 ARCHITECT of the CAPITOL

Compost Nonconstruction Waste

MAINTAIN AWE-INSPIRING FACILITIES KPI 7

This KPI measures the amount of nonconstruction waste (e.g., food 

and organic waste) diverted from landfills for composting. The 

AOC’s annual target is to compost 10 percent of its nonconstruction 

waste. Composting food and organic waste creates a product that 

can be used to improve soils, grow the next generation of crops and 

improve water quality.

Performance Results: This fiscal year, as shown in Figure 34, the AOC 

composted 10 percent of its nonconstruction waste, meeting its 

targeted performance. The composting rate is expected to increase as 

cafeterias reopen and personnel return to the buildings. Further 

improvements will result as individual AOC jurisdictions prioritize 

waste management. This fiscal year, the House Office Buildings 

initiated a program to reduce food waste in the Longworth House 

Office Building Café and assorted House eateries. In addition, the 

Senate Office Buildings began a Master Plan Study of the Senate 

restaurants to modernize food service practices. Target Met

Divert Construction and Demolition Debris

MAINTAIN AWE-INSPIRING FACILITIES KPI 8

This KPI measures the amount of construction and demolition 

debris that is a byproduct of construction, remodeling, renovation 

and repair. These materials are often bulky or heavy and include 

concrete, drywall, wood and ceiling tiles. This debris can often be 

recycled and reused instead of sent to landfills. The AOC’s annual 

target is to divert 90 percent of its construction waste. 

Performance Results: This fiscal year, as shown in Figure 35, the AOC 

met its targeted performance by diverting 92 percent of its 

construction and demolition debris. Despite the COVID-19 pandemic, 

Capitol campus construction activities remained active and efforts to 

divert construction and demolition debris continued. As a result, the 

AOC diverted approximately 5,000 tons of construction and 

demolition debris from landfills. All major construction projects 

executed by the AOC contain contract clauses to maximize diversion 

of construction debris from landfills. Minimum standards in these 

contracts typically call for a 90 percent construction debris-recycling 

rate, helping the AOC to achieve its performance target. Target Met

For more information, see the AOC’s annual Energy and 

Sustainability Performance Management Report, located in 

Section 04: Other Information.

FIGURE 34

Compost Nonconstruction Waste 

 

Definition: Nonconstruction waste composted divided by total 

nonconstruction waste

Source: OCE Sustainability Information Management System, October 29, 2021

Target: Compost ≥ 10% of nonconstruction waste annually 

(the FY 2019–FY 2020 target was 8% and the pre-FY 2019 target was 6%)

 

TREND

The agency met its performance target in each of the 

past five fiscal years.

TARGET MET

FIGURE 35

Divert Construction and Demolition Debris 

 

Definition: Construction and demolition debris reduced, reused or 

recycled divided by total construction and demolition debris

Source: OCE Sustainability Information Management System, October 29, 2021

Target: Divert ≥ 90% of annual construction and demolition debris from landfills

 

 

TREND

The agency met its construction debris recycling target 

in each of the past five fiscal years.

TARGET MET
Performance Information | SECTION 02 63

Facility Condition Index

MAINTAIN AWE-INSPIRING FACILITIES KPI 9

This KPI measures the AOC’s ability to maintain its facility inventory 

and is based on the Facility Condition Index (FCI), a standard facility 

benchmark to assess a facility’s current and projected condition 

objectively. The FCI categorizes facilities either as poor, fair, good or 

very good. The FCI is calculated as the estimated cost of deferred 

maintenance divided by the building’s current replacement value. A 

ratio of less than 0.02 is considered very good, between 0.02 to 0.05 

is good, between 0.05 to 0.10 is fair and more than 0.10 is poor. The 

performance target is for the percent of major buildings in poor or fair 

condition to be less than or equal to that calculated for the previous year. 

For purposes of this indicator, 27 of the AOC’s facilities are considered 

major buildings. There has been no change in the methodology for 

computing deferred maintenance and current replacement value from 

prior years. Owing to the advanced age of many of the AOC’s facilities, 

maintaining their condition in at least good condition is a priority for the 

agency. This indicator is designated as a high-level KPI for the AOC.

Performance Results: In FY 2021, as shown in Figure 36, the 

percentage of major buildings in either poor or fair condition 

increased from 48.1 percent to 55.6 percent (15 of the 27 major 

buildings). This fiscal year, to ensure that the information used to 

measure the buildings’ condition was up-to-date, the AOC 

completed 12 facility condition assessments (FCA) to modify the FCI 

computations and identify ongoing facility issues. After the recent 

reassessments, two facilities (Union Square and Capitol Square) 

R E S T O R AT I O N O F T H E 

OLMSTED LANTERNS

In 1873, Congress commissioned the acclaimed American 

landscape architect Frederick Law Olmsted to design the newly 

expanded grounds of the U.S. Capitol. His elaborate landscape 

plans for the 58.8-acre site included walkways, walls, fountains 

and the grand marble terraces that flank the north, west and 

south sides of the U.S. Capitol Building. Among Olmsted’s most 

prominent design features are 14 ornamental lanterns that 

light the two diagonal walkways leading from each end of the 

Capitol Reflecting Pool to the U.S. Capitol’s west terrace. The 

bronze and glass lanterns are mounted on ornately carved 

sandstone piers, which reflect an eclectic mix of Asian and 

Victorian-era influences popular during Olmsted’s lifetime.

In FY 2021, the AOC completed significant restoration of eight 

of the 14 Olmsted lanterns. The two-year restoration project 

involved cleaning and restoring the original bronze, replacing the 

glass, cleaning the stonework and rewiring the lighting systems.

Many of the lanterns’ bronze and iron components were 

corroded and at a point of failure. To repair these parts, the 

AOC removed and dismantled the lanterns, and then cleaned, 

patinated and lacquered the bronze. Damaged areas were 

replaced where appropriate. While the metal repair was 

underway, electricians retrofitted the lanterns with specialized 

LED lights that resemble the flames of the original gas-fired 

fixtures. Replica historic glass was also made to replace white 

plastic sheeting from a previous repair. The restoration returned 

the lanterns to their original 19th-century appearance and 

upgraded them to meet modern safety and energy standards.

www.aoc.gov/explore-capitol-campus/frederick-law-olmsted

CAPITOL

HIGHLIGHTS

FIGURE 36

Facility Condition Index 

 

Definition: Percentage of buildings in “poor” or “fair” condition

Source: AOC Facility Assessments, FY 2021

Target: Percent of buildings in “poor” or “fair” condition ≤ previous year

 

 

TREND

The agency missed its FCI performance target the past 

two fiscal years.

TARGET NOT MET
64 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

declined from good condition to poor condition. The assessments of 

the remaining 13 facilities previously reported in poor or fair 

condition last fiscal year did not change. Despite the increase in 

buildings with an FCI assessment of poor or fair this fiscal year, the 

AOC continued to make progress in the deferred maintenance and 

capital renewal backlog. An FCA dashboard was implemented for 

jurisdiction managers, providing up-to-date facility data and 

allowing the agency to monitor its portfolio of major buildings and 

optimize the public’s investment in the federal facilities. Since the 

percentage of buildings in poor or fair condition increased in 

FY 2021, the AOC did not meet its performance target for this KPI. 

Target Not Met

FIGURE 37

Energy Reduction by Building 

 

Definition: : The average Energy Usage Intensity (EUI) for the Capitol campus 

based on the British thermal units (BTU) of energy per gross square foot (GSF) 

for each AOC building

Source: OCE Sustainability Information Management System, November 4, 2021

Target: : EUI within +/- 5% of the average Capitol campus EUI 

TREND

The agency's performance met the baseline target 

established last year.

TARGET MET

Energy Reduction by Building

MAINTAIN AWE-INSPIRING FACILITIES KPI 10

This KPI measures the progress of reducing energy usage 

within each building of the Capitol campus. In developing this 

performance indicator in FY 2020, the AOC conducted meetings 

with each jurisdiction to reevaluate energy targets for steam, chilled 

water and electricity usage for each building. The AOC assessed 

energy consumption data and energy usage intensity (EUI) from 

previous years to establish new, agreed-upon targets that take into 

consideration the current operating environment and ongoing 

energy conservation projects. Performance is reviewed at energy 

management working group meetings and corporate facility 

management meetings. The target is considered met if the actual 

average Capitol campus EUI is within 5 percent of the average 

Capitol campus EUI target.

Performance Results: As shown in Figure 37, in FY 2021, the AOC 

achieved an overall average campus EUI of 132 thousand British 

thermal units (KBTU) per gross square foot (GSF) compared with the 

target average campus EUI of 135 KBTU/GSF. The overall actual 

building EUI was 2.2 percent lower than the target EUI, falling within 

the +/- 5 percent performance target range. The individual building 

EUI indicator was developed using energy modeling to establish 

energy performance targets for all large facilities within the AOC 

portfolio. The building targets are adjusted annually to account for 

ongoing funded energy conservation projects. Weekly and monthly 

steam, chilled water and electricity usage is tracked with reports 

sent to each jurisdiction. These reports indicate the actual building 

performance for each utility. These tracking efforts highlight 

opportunities for improvements, helping the jurisdictions quickly 

pinpoint areas to target. Use of individualized energy performance 

targets for each building has been instrumental in supporting the 

AOC’s energy conservation strategy. Target Met
Performance Information | SECTION 02 65

Americans With Disabilities Act Remediation

M A I N TA I N AW E - I N S PI R I N G FAC I L I T I E S K PI 11

This KPI measures the AOC’s progress in remediating the Americans 

With Disabilities Act (ADA) findings identified in building inspections 

conducted by the Office of Congressional Workplace Rights (OCWR). 

The biennial OCWR inspections identify ADA compliance issues with 

accessibility elements such as access barriers and accessible ramps, 

doors, restrooms, water fountains and signage. 

In FY 2020, in recognition of the importance of compliance with 

the ADA, the AOC added this KPI to its Strategic Plan framework to 

monitor accessibility of the Capitol campus services and facilities 

for individuals with disabilities. The AOC established an annual 

performance target to close 10 percent of its outstanding findings 

each year. For FY 2021, this required the AOC to remediate at least 

180 OCWR findings.

Performance Results: As shown in Figure 38, the AOC closed 402 

OCWR findings in FY 2021, amounting to 18 percent of the total 

outstanding findings and meeting the performance target for this 

KPI. This is a result of enhanced core competency and education on 

ADA requirements, increased stakeholder coordination and a focus 

on remediation through regular maintenance processes. The AOC 

logs and maintains actions on ADA findings in the AOC’s work order 

system to better account for and close findings. In addition, the AOC 

continues to work with an independent quality assurance inspector 

to confirm that completed work is ADA-compliant. For a number of 

open findings, the AOC has planned corrective actions that will be 

included in upcoming phases of construction projects. Target Met

FIGURE 38

Americans With Disabilities Act Remediation 

Definition: Americans With Disabilities Act findings identified in building 

inspections conducted by the Office of Congressional Workplace Rights (OCWR)

Source: OCWR Findings Database, October 28, 2021

Target: Close ≥10% of the outstanding OCWR findings annually 

TREND

The agency's performance met the baseline target 

established last year.

TARGET MET
66 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

STRATEGIC GOAL 2

Provide Extraordinary Services

GOAL DEFINITION

The AOC supports the prestigious occupants of the AOCmanaged facilities in their critical mission to govern our country. 

The AOC fulfills the journey of visitors from across our nation 

and around the world to celebrate and discover the center and 

symbol of American democracy. Internal and external services 

are equally essential in the successful fulfillment of the AOC’s 

mission, values and vision.

This strategic goal promotes an organizational culture that is 

focused on consistently recognizing and meeting customer needs 

by being responsive, courteous and taking ownership for actions. 

This strategic goal includes one strategic objective: demonstrating 

expertise while exhibiting responsiveness, ownership and courtesy 

to all internal and external customers.

Table 19 defines the types of customer services associated with this 

goal. The terms “client” or “tenant” includes Members of Congress 

and the Supreme Court, their staff and employees of other federal 

agencies working in AOC-managed facilities. The term “visitors” 

encompasses all persons coming to the Capitol campus, whether for 

business or leisure, or interacting with the agency virtually through 

its online programs. The term “internal” refers to AOC employees 

who provide support services to the rest of the agency.

The AOC measured two KPIs for this strategic goal in FY 2021, 

summarized in Figure 39. The agency exceeded its target for one 

KPI and did not meet the target for the other KPI. 

For the 59th Presidential Inauguration, the AOC’s event support required significant seating modifications to meet the social distancing guidelines set by the Office of 

Attending Physician.

TABLE 19

Customer Service Types Associated With Provide Extraordinary 

Services Strategic Goal

CUSTOMER 

SERVICE TYPE

STRATEGIC 

OBJECTIVES

Client/Tenant 

Services

Client services include normal and special request services 

provided to building tenants. A service call, written request or 

technician work order typically initiates normal client services 

(e.g., painting services). Client services also include special 

event support (e.g., the Presidential Inauguration) and the 

biennial election year office moves.

Visitor Services

Visitor services include providing a welcoming, informative 

and inspiring experience on the Capitol campus. The AOC 

provides public tours, training, exhibitions, lectures and 

online programs to enhance the visitor experience. Visitor 

services also include restaurant management services and gift 

shop operations.

Internal Services

The AOC has many collaborative partnerships among its 

business units. Internal services include communications, 

contracting and procurement, financial and human resources, 

information technology and project management.

FIGURE 39

Key Performance Indicator Results for Strategic Goal 2: 

Provide Extraordinary Services
Performance Information | SECTION 02 67

Customer Satisfaction With Projects

PROVIDE EXTRAORDINARY SERVICES KPI 1

This annual KPI measures customer satisfaction with AOC-led 

design services and construction management to ensure the 

AOC delivers projects with high customer satisfaction. The AOC 

facilitates all capital improvements, alterations, additions and repairs 

to the Capitol campus. Following the completion of a design or 

construction project, the AOC’s OCE issues a customer satisfaction 

survey to the AOC jurisdiction point-of-contact responsible for 

coordinating the project. The completed peer surveys provide the 

data for this KPI. The performance target for this KPI is a combined 

90 percent satisfaction rating. The AOC’s strategies to meet this 

performance indicator include leveraging best-in-class project 

management principles and strengthening facilities planning. This 

indicator is designated as a high-level KPI for the AOC.

Performance Results: In FY 2021, the AOC conducted 63 online 

project surveys, covering 57 completed construction service projects 

and six completed design service projects. The surveys included 

construction services for the Senate Mail Handling Facility’s exterior 

painting, sprinkler and fire alarm system upgrades in the Russell 

Senate Office Building, the Cannon House Office Building Caucus 

Room renovation, and U.S. Capitol basement sprinkler 

improvements, among other projects. As shown in Figure 40, the 

AOC achieved a 94.9 percent combined overall satisfaction rating for 

design and construction projects this fiscal year. Although the 

overall rating was down slightly from last year’s 95 percent 

satisfaction rate, the AOC has consistently met or exceeded its goal 

for customer satisfaction. As part of the survey tool, a free text field 

captured recommendations for improvement from customers that 

will be used to develop process enhancements for future project 

work. Recent suggestions provided in this field have helped guide 

the agency’s acquisition process, project management, 

commissioning and closeout processes. Target Met

TREND

The agency's customer satisfaction with design and 

construction projects has exceeded 90 percent in each 

of the past 10 fiscal years.

FIGURE 40

Customer Satisfaction With Projects 

 

Definition: Number of projects rated as satisfactorily completed divided 

by total evaluated

Source: Design Project Customer Satisfaction Survey and Construction Projects 

Customer Satisfaction Surveys as of October 25, 2021

Target: ≥ 90% of projects are rated by clients as satisfactorily completed

 

 

TARGET MET
Tenant Survey

PROVIDE EXTRAORDINARY SERVICES KPI 2

This KPI measures how well the AOC provides services to its clients 

who occupy AOC-managed facilities and is designated as a highlevel KPI. The agency intends to conduct this survey biennially and it 

measures client satisfaction, timeliness, quality, communication and 

collaboration. The survey results also help identify opportunities for 

improvement.

In FY 2021, the AOC received the results from its redesigned tenant 

survey. The survey leveraged standardized questions that align with 

industry standards and best practices for capturing client satisfaction. 

The tenant survey addressed service categories such as HVAC, 

cleanliness, lighting, elevators and grounds maintenance. As in past 

surveys, occupants of the facilities managed by the Capitol Building, 

House Office Buildings, Library Buildings and Grounds, and Senate 

Office Buildings jurisdictions and the Chief Security Officer completed 

the survey. The Supreme Court Building and Grounds jurisdiction was 

included in this most recent survey. The survey was deployed during 

September 2020 and the AOC received the results in November 2020. 

In a change from previous surveys, the overall satisfaction score was 

compiled using a standard prompt: “My overall satisfaction with the 

support AOC provides is...” The survey also introduced a five-tier rating 

system (versus the prior four-tier rating system). The five-tier scale 

allowed for a neutral scoring option. Although the AOC used tenant 

surveys in the past to measure customer satisfaction with building 

services (the most recent survey was the FY 2018 Facility Management 

Customer Satisfaction Survey), the introduction of the direct prompt 

regarding satisfaction and the new five-tier rating system limits the 

correlation between the latest survey results with past iterations.

Performance Results: In FY 2021, as shown in Figure 41, the 

agency scored 79 percent overall satisfaction, falling short of the 

90 percent target. This was also significantly lower than the average 

from the previous two survey cycles, in which the AOC averaged 

93.1 percent.

The total number of responses for the survey were 336 (down 

from the last two surveys: 379 in FY 2018 and 533 in FY 2015). 

This response rate was likely impacted by the off-campus working 

model, as many tenants worked off-site throughout the COVID-19 

pandemic and could not provide constructive feedback. Over 

20 percent of respondents reported they did not work on the Capitol 

campus since the pandemic and an additional 37 percent reported 

being on-site more than 5 percent of the time.

The survey results showed that the AOC scored highest in “grounds 

maintenance” (92 percent of tenants) and “professionalism and 

courtesy” (87 percent) and that “responsiveness” was the number 

one driver in customer satisfaction. The results indicated an 

opportunity for the agency to build stronger relationships with one 

in five tenants and identified two focus areas for the agency: better 

client communications (e.g., information sharing and service 

updates) and improved HVAC services. The AOC is targeting 

initiatives to improve service in these two focus areas, with a 

full-scale implementation planned for FY 2022. Target Not Met

EXHIBITION HALL RENOVATION

The AOC is at work on a major renovation of the CVC Exhibition 

Hall, the 16,500 square feet of gallery space where visitors can 

learn the story of Congress and the U.S. Capitol. Exhibition Hall 

has featured rarely seen historic documents borrowed from the 

National Archives and the Library of Congress. By revitalizing 

this space — including the gallery designs, interpretive material 

and content — the AOC aims to create a more educational, 

interactive and immersive experience for CVC visitors. 

Exhibition Hall closed for the renovation in March 2020 — mere 

weeks before the campuswide closure due to COVID-19.

In FY 2021, the AOC completed large-scale infrastructure 

upgrades to the Exhibition Hall’s floor, ceiling, walls, HVAC, 

electrical and life-safety systems. At the close of the fiscal year, 

the AOC completed the structural renovations and exhibition 

furniture installation, while finalizing content for four of the 

eight galleries. Multimedia content was also finalized for 

three of the seven programs. Cross-jurisdiction collaboration 

has facilitated the project, helping ensure that the redesign 

and renovation received congressional oversight approval. 

Once complete, the galleries will provide bright and welcoming 

spaces, featuring new areas for student programs, hands-on 

and family activities and a myriad of opportunities for visitors to 

understand the role of Congress. The renovated Exhibition Hall 

is projected to reopen in FY 2022. Throughout the renovation, 

the CVC has offered a full lineup of virtual programs.

www.visitthecapitol.gov

CAPITOL

HIGHLIGHTS

68
Performance Information | SECTION 02

FIGURE 41

Tenant Survey

 

Definition: Number of survey responses showing “satisfied” or “very satisfied” 

with tenant services provided divided by total survey responses received

Source: Tenant Survey results received as of November 2020

Target: ≥ 90% of respondents reported at least “satisfied” with overall 

tenant services provided

TREND

The agency's performance did not meet the 

performance target for the new Tenant Survey.

TARGET NOT MET

T R A N S F O R M I N G T H E L I B R A R Y O F 

CONGRESS VISITOR EXPERIENCE

The AOC is partnering with the Library of Congress on a 

new Visitor Experience Master Plan to make the Library 

more user-centered, interactive and inclusive by sharing 

more of its national treasures with the public. The 

renovation project will include a ground-level welcome and 

orientation space in the Jefferson Building, the creation 

of a new youth center offering learning labs and galleries 

with new exhibitions from the Library’s collection.

The AOC helped the Library complete the master planning 

efforts for this initiative, supporting budget development for 

the renovation and exhibition improvement program, while 

establishing and maintaining appropriate scope boundaries 

between the AOC’s architectural-engineering teams and the 

Library’s exhibit design teams. The Library has consulted with 

the AOC in the plan’s design and development phases, to allow 

visitors to best experience the grandeur of the Jefferson Building 

while also gaining a better appreciation of, and inspiration 

from, the Library's collections. In FY 2021, the original concept 

and schematic designs for the welcome and orientation center 

were presented. Also, the design for one of the galleries was 

awarded this fiscal year and is currently under review.

The project is funded by a $60 million public-private partnership, 

using a mix of government appropriations to the Library of 

Congress and private donations. When complete, the new Visitor 

Experience will improve the Jefferson Building for all visitors 

and guests.

www.loc.gov

CAPITOL

HIGHLIGHTS

69
70 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

STRATEGIC GOAL 3

Foster an Innovative and Empowered Workforce

GOAL DEFINITION

An empowered workforce will exercise greater responsibility 

for its performance and proactively apply well-informed 

judgment and innovation to solve problems with solutions 

that focus on results.

The AOC’s third strategic goal embraces the spirit of continuous 

and focused employee improvement to sustain the agency’s core 

mission. This goal provides employees with the tools, training 

and environment to excel in their respective duties. Effective 

and efficient mission achievement and improved service to our 

stakeholders is achievable through the enhanced alignment and 

strategic management of the agency’s workforce. This strategic goal 

drives the AOC’s efforts to create a work environment that cultivates 

leadership, rewards excellence and creativity, and assists the AOC 

in attracting, developing, engaging and retaining exceptional 

employees. The AOC is committed to ensuring the health, safety and 

security of its employees. To that end, all employees are required 

to participate in regular safety, injury avoidance and emergency 

preparedness training. These trainings, along with regular 

safety communications and protocols, improve the awareness, 

preparedness and performance of the AOC’s safety and security 

programs. This strategic goal includes three multiyear strategic 

objectives:

 Strengthen employee performance through improved 

development and accountability practices

 Cultivate high employee engagement in the workplace

 Provide for the security and safety of every AOC employee

The AOC measured six KPIs for this strategic goal in FY 2021, 

summarized in Figure 42. The agency met or exceeded its target for 

four indicators and did not meet its target for two KPIs. 

Despite the challenges brought on by COVID-19, the AOC’s Capitol Grounds and Arboretum jurisdiction continued to invest in its training programs to allow for enhanced 

professional growth opportunities. The strategic goal to Foster an Innovative and Empowered Workforce creates an organizational culture to attract, develop and retain 

exceptional employees.

FIGURE 42

Key Performance Indicator Results for Strategic Goal 3: 

Foster an Innovative and Empowered Workforce
Performance Information | SECTION 02 71

Injuries and Illnesses Rate

FO S T E R A N I N N OVAT I V E A N D E M P OW E R E D 

WORKFORCE KPI 1

Safety is a core value for the AOC. The agency strives to ensure 

the safety of AOC employees, contractors, customers and the 

environment. The AOC’s Office of Safety and Code Compliance 

leads the AOC’s safety planning, prevention and education efforts.

This annual KPI assesses the AOC’s ability to ensure a safe workplace 

by measuring the rate of injuries and illnesses (I&I) across the Capitol 

campus. The AOC’s annual target is to achieve a lower I&I rate for 

the current fiscal year than the preceding fiscal year. This indicator is 

designated as a high-level KPI for the AOC.

Performance Results: The AOC achieved its FY 2021 target, with a 

resulting I&I rate of 1.62 (using workers’ compensation claims). This 

was a reduction from the FY 2020 rate of 1.67 (Figure 43). The most 

common injuries in FY 2021 were hand lacerations and back strains. 

The most frequent causes of injury were related to failures to 

develop and follow procedures and job hazard analyses. Critical to 

this rate reduction was the development of in-house safety training 

with the help of a new safety training specialist, including modules 

on spill prevention, control and countermeasures. Between 

October 2020 and January 2021, the AOC provided incident 

investigation training to 54 AOC staff, covering basic accident 

investigation procedures and describing accident analysis 

techniques. Through this training, AOC staff can suggest appropriate 

corrective actions to prevent the recurrence of similar incidents in 

the future. Similarly, the AOC is increasing analysis of incidents and 

close calls and disseminating this information to help highlight 

safety issues and reduce the occurrence of similar future 

incidents. Target Met

Injuries and Illnesses Rate 

(Rolling Five-Year Average)

FO S T E R A N I N N OVAT I V E A N D E M P OW E R E D 

WORKFORCE KPI 2

This annual KPI measures the long-term AOC workplace safety 

trends through a rolling I&I rate average for the previous five fiscal 

years. The AOC uses this indicator to examine long-term trends and 

provide insight into injury patterns and safety developments. This 

calculation minimizes the impact of an outlier fiscal year and holds 

the agency accountable for the cumulative reduction in injuries and 

illnesses. The target for this KPI is a reduction in the rolling five-year 

average from the prior fiscal year.

Performance Results: As shown in Figure 44, the AOC achieved a 

five-year rolling average rate of 2.04 in FY 2021, meeting the target 

rate of less than or equal to 2.28 and marking the third consecutive 

annual reduction. To address the ongoing and long-term challenge 

of injuries and illnesses in the workplace, the AOC has adopted 

elements of the International Organization for Standardization (ISO) 

Standard 45001:2018 Occupational Health and Safety Management 

Systems — Requirements With Guidance for Use and began 

developing the framework for an Integrated Safety Management 

System (ISMS). The ISMS embeds an intentional, robust and 

leadership-driven framework for establishing, implementing, 

TREND

The agency’s injuries and illnesses rate declined for the 

past five fiscal years.

FIGURE 43

Injuries and Illnesses Rate

 

 

Definition: Number of injury claims sent to the DOL in the fiscal year 

divided by the average number of employees

Source: Number of injuries sent to DOL: HCMD, Employee Benefits and 

Services Branch, National Finance Center bimonthly information data file via 

ODS for the number of employees, October 22, 2021

Target: Less than the previous year’s rate

TARGET MET
72 ARCHITECT of the CAPITOL

maintaining and improving processes to manage safety-related risks 

effectively. The AOC also continues to support safety in construction 

projects, from design through construction, and the issuance of 

Certificates of Occupancy. During FY 2021, this included testing and 

inspections to issue the Certificate of Occupancy for Phase 2 of the 

Cannon Renewal. Target Met

Workers’ Compensation Cases

FO S T E R A N I N N OVAT I V E A N D E M P OW E R E D 

WORKFORCE KPI 3

This KPI measures the outcomes of the more serious injuries 

sustained by agency employees while on the job — those that 

result in a workers’ compensation case. The Federal Employees 

Compensation Act provides income and medical cost protection 

to covered federal civilian employees injured on the job, to 

employees who have incurred work-related occupational diseases 

and to beneficiaries of employees whose deaths are attributable 

to job-related injuries or occupational diseases. The target for 

this performance indicator is for the AOC to record either fewer 

recordable workers’ compensation cases accepted by the DOL than 

the previous fiscal year, or zero recorded cases. 

N E W P E S T I C I D E 

RECERTIFICATION PROGRAM

The AOC uses environmentally conscious pest management 

techniques in its ground maintenance operations. In accordance 

with the U.S. Environmental Protection Agency and District 

of Columbia regulations, AOC gardeners are required to 

obtain a pesticide applicator license. This ensures the safe and 

effective application of pesticides, including integrated pest 

management strategies that minimize risks to people and the 

environment by using environmentally friendly practices.

The AOC worked with the District of Columbia Department 

of Energy and Environment (DOEE) to develop a streamlined 

online training program so that gardeners could prepare 

for the certification exam or maintain their certification. 

After the online training was approved and launched in 

October 2020, over two dozen AOC employees took the 

course. This was a valuable service for AOC staff, as the DOEE 

suspended on-site administration of the certification exam 

and canceled in-person regional recertification trainings 

after COVID-19 restrictions were initiated in March 2020.

“The course was well received and definitely helped our newer 

staff members prepare for the certification exam,” said Katie 

Serock, a Gardener Supervisor for the AOC’s Capitol Grounds and 

Arboretum jurisdiction. “Achieving and maintaining the pesticide 

applicator credential is also required in order to advance in our 

field, so it’s an important step in our employees’ development 

to provide them more technical horticultural knowledge.”

The success of the online pesticide applicator training 

program has opened the door for the AOC to convert more 

employee development programs into virtual formats, 

offering more accessible and flexible opportunities to 

support its evolving workforce. These efforts reflect the AOC’s 

strong commitment to enhanced employee training and 

development, as well as Capitol campus health and safety.

CAPITOL

HIGHLIGHTS

TREND

The agency's performance exceeded its target for five of 

the past six fiscal years.

FIGURE 44

Injuries and Illnesses Rate (Rolling Five-Year Average) 

 

 

Definition: Five-year average of the number of injury claims sent to the 

DOL in the fiscal year divided by the average number of employees

Source: Number of injuries sent to DOL: HCMD, Employee Benefits and 

Services Branch, National Finance Center bimonthly information data file 

via ODS for the number of employees, October 22, 2021

Target: Less than the average of the previous five-year rate

TARGET MET
Performance Information | SECTION 02 73

Performance Results: The number of agency workers’ 

compensation cases has declined for the past six fiscal years. As 

shown in Figure 45, the AOC met the performance target by 

recording 27 workers’ compensation cases in FY 2021, 12 fewer cases 

than the previous year. Further, the total yearly lost-time work hours 

charged decreased — reducing the lost-time cost by more than 

$30,000. This decline is attributed to enhanced agency safety 

programs. The AOC works with the DOL to develop case 

management strategies with a focus on returning injured employees 

to work, providing light-duty assignments when appropriate, 

reducing lost production and challenging questionable claims. In 

addition, the AOC followed OAP guidance and continually searched 

for published studies, information releases from the World Health 

Organization, and new data from the CDC regarding COVID-19. 

These measures helped provide fact-based guidance to drive AOC 

decision-making, ensure the AOC was following the latest guidance 

and minimize COVID-19 transmission among on-site team 

members. Target Met

Business Units That Reviewed 

Emergency Procedures

FO S T E R A N I N N OVAT I V E A N D E M P OW E R E D 

WORKFORCE KPI 4

The AOC faces a variety of potential emergencies, both man-made 

and natural, that could affect the agency’s operations. These 

include fires, explosions, floods, earthquakes, hurricanes, tornadoes, 

toxic material releases, radiological and biological accidents, civil 

disturbances and workplace violence. To be prepared for these 

possibilities, the AOC has developed emergency procedures and an 

internal safety policy that requires all business units to complete an 

annual review of emergency procedures with all their employees. 

Emergency preparedness is a shared responsibility at the AOC. When 

developing the agency’s emergency procedures, it considered a 

number of factors, including when evacuation would be necessary, 

when it may be better to shelter in place, how to assist visitors and 

how to account for employees post evacuation. This KPI measures 

the AOC’s adherence to that policy. The target for this KPI is that 

100 percent of AOC business units review their procedures.

Performance Results: As shown in Figure 46, 100 percent of AOC 

business units reviewed emergency procedures with all their 

employees, meeting the FY 2021 target. The AOC has met its target 

for four of the five years that the AOC has measured this 

performance indicator. Despite this success, as noted in the Office of 

Inspector General (OIG) post-January 6 report, Evaluation of the 

Architect of the Capitol’s Emergency Preparedness Posture, while 

the AOC’s emergency preparedness training was generally effective, 

there are minor gaps in policy, preparation and evaluation activities. 

The AOC concurred with the OIG findings and, with the assistance of 

the Office of the Chief Security Officer, intends to implement a 

standardized timeline for periodic review of emergency 

management policies and procedures to improve the means of 

tracking and sustaining these efforts and helping identify any 

training vulnerabilities. Target Met

TREND

The agency’s performance met its target for each fiscal 

year since FY 2016.

FIGURE 45

Workers’ Compensation Cases 

 

 

Definition: Number of workers’ compensation claims accepted by the DOL

Source: AOC Corporate Performance Workers’ Compensation Dashboard 

derived from HCMD Workers’ Compensation Branch, October 22, 2021

Target: Less than the previous year (or zero recorded cases)

 

 

TARGET MET
74 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Jurisdictions That Completed All Routine 

Self-Inspections On Time

FO S T E R A N I N N OVAT I V E A N D E M P OW E R E D 

WORKFORCE KPI 5

This KPI measures the ability of the AOC to complete routine selfinspections on time. Self-inspections empower agency jurisdictions 

to take responsibility for safe work areas by training their staff to 

self-identify and self-correct risks. Self-inspections offer a chance to 

check items such as fire extinguishers, ladders, tools and egresses. 

Adherence to routine, proactive internal inspections can prevent 

external safety inspection findings and result in quicker mitigation of 

issues before they can result in injury or regulatory noncompliance. 

The target for this KPI is that 100 percent of the AOC’s jurisdictions 

complete self-inspections on time during the fiscal year. 

Performance Results: As shown in Figure 47, the AOC completed 

99 percent of the required self-inspections as scheduled. In FY 2020, 

the AOC began using standard checklists to support jurisdiction 

self-inspections for compliance with facility safety requirements and 

instituted the Inspection Findings Module, an electronic reporting 

mechanism, to effectively plan for and track actions and remedy 

findings. This year, an agencywide self-inspection program was 

formalized that identifies spaces required to be inspected and the 

planned inspection frequency. The program’s implementation is 

50 percent complete. Due to COVID-19, full implementation of the 

formal program has been delayed. In addition, the jurisdictions had 

a limited capacity to conduct self-inspections, identify areas for 

improvement, and report findings and lessons learned. Target 

Not Met

TREND

The agency’s performance exceeded its target for 

four of the five fiscal years that the AOC has measured 

this indicator.

FIGURE 46

Business Units That Reviewed Emergency Procedures

 

Definition: Percentage of business units that have reviewed emergency 

procedures within the fiscal year divided by all business units 

Source: AOC 2021 Action Plans, November 10, 2021

Target: 100% of business units completed the requirement

 

TARGET MET

FIGURE 47

Jurisdictions That Completed 

All Routine Self-Inspections On Time

 

Definition: Percentage of jurisdictions that have completed all routine 

internal self-inspections on time divided by all jurisdictions 

Source: AOC 2021 Action Plans, November 10, 2021

Target: 100% of jurisdictions completed the requirement

 

TREND

The agency’s performance did not meet its target for 

three of the past five fiscal years.

TARGET NOT MET
Performance Information | SECTION 02 75

External Safety Inspection Findings

FO S T E R A N I N N OVAT I V E A N D E M P OW E R E D 

WORKFORCE KPI 6

This KPI measures the number of safety inspection findings 

identified by the Office of Congressional Workplace Rights (OCWR). 

The OCWR (formerly known as the Office of Compliance) was 

established by Congress to enforce and administer workplace rights, 

accessibility and safety and health for congressional workers and 

visitors to the Capitol campus. During each biennial congressional 

cycle, the OCWR assesses the AOC’s spaces for safety hazards that 

require corrective action. The target for this measure is to have 

fewer OCWR findings than the rolling average of findings from the 

previous six years. This indicator is designated as a high-level KPI for 

the AOC.

Performance Results: In FY 2021, during the 116th Congress, the 

OCWR found 2,050 instances of safety noncompliance. The AOC 

did not achieve fewer findings than the rolling six-year average of 

OCWR findings and, as a result, did not meet the performance target 

for this KPI (see Figure 48). In March 2020, the OCWR curtailed 

in-person inspections due to the COVID-19 pandemic. Public health 

and safety concerns prevented both the OCWR staff and most other 

AOC personnel from working on-site and, as a result, the scheduled 

inspections were either rescheduled or converted into remote 

inspections, which consisted primarily of written program reviews.

The AOC includes safety as one of its four core values to ensure that 

the agency is governed by the foundation of safety always. This fiscal 

year, the AOC implemented several initiatives to enhance its safety 

culture. One of the AOC’s efforts focused on the launch of a new 

agencywide self-inspection program so staff could identify, report 

and correct hazards at the level closest to the work. In FY 2020, the 

AOC developed a self-inspection checklist and training course based 

on the most frequently identified findings. Additional staff were 

trained on how to conduct inspections this fiscal year. In FY 2021, 

the AOC also launched a new Building Official program. The Building 

Official is responsible for issuing permits and inspecting targeted 

facility work to verify code compliance. Although the FY 2021 

performance target was not met, the agency believes that these 

efforts will drive a considerable reduction in the number of common 

and repeated hazards during the next congressional cycle. 

Target Not Met

FIGURE 48

External Safety Inspection Findings

 

Definition: OCWR Findings 

Source: Number of findings captured from the OCWR Summary 

Report Spreadsheet, November 10, 2021 

Target: Less than the average of previous six years of findings

 

TREND

The agency’s performance did not meet its target for the 

fifth consecutive fiscal year.

TARGET NOT MET
76 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

STRATEGIC GOAL 4

Operate as One Team, Dedicated to One Mission

GOAL DEFINITION

The AOC must recognize and value that what may appear 

to be competing priorities, for different AOC functions are 

ultimately in service to the agency’s united mission, 

vision and values.

The AOC’s fourth strategic goal focuses on the collaborative and 

integrated elements needed for the AOC to achieve results. The AOC 

works collectively to preserve and maintain the facilities entrusted 

to its care by providing innovative, safe and professional service. This 

strategic goal promotes communication and collaboration within 

and among the agency’s jurisdictions and administrative offices to 

create a more efficient and effective organization. This strategic goal 

includes two multiyear strategic objectives.

As part of the Reorganization and development of the future 

strategic plans, the AOC did not measure KPIs aligned with this 

strategic goal in FY 2021.

The AOC believes that accomplishing its organizational goals 

and objectives requires diverse leadership and collaborative 

management. Delivering organizational excellence is a shared 

responsibility. Establishing a mission-oriented culture is built on 

consistent, high-quality customer experiences, sound resource 

management, reliable workforce planning and modern technology 

systems. Delivering organizational excellence also requires a 

The AOC played a key role in planning, logistics and construction for the 59th Presidential Inauguration held on January 20, 2021. The strategic goal to Operate as One 

Team, Dedicated to One Mission fosters a culture of cooperation and teamwork.

workforce connected to the mission and to each other. It requires 

a culture that understands and embraces a shared commitment to 

the AOC’s mission and sees collaboration with fellow employees and 

with peer organizations as a path to success.

Although the AOC does not contribute to the OMB’s CAP Goals, 

the agency monitors their progress to identify the governmentwide priorities and challenges that affect the AOC. In particular, 

the goals related to leveraging data as a strategic asset, developing 

a workforce for the 21st century and improving the customer 

experience are particularly relevant to the AOC and its future plans.

Strategic Objective 1.0: Support the success of others by 

prioritizing the AOC’s mission, values, vision and goals ahead of 

the interests of any individual, work group or business unit

This strategic objective promotes employee collaboration and 

learning through cross-functional projects and activities that require 

a high level of communication, cooperation and alignment toward a 

shared purpose. 

The AOC’s Reorganization initiative served as a key component of 

this strategic objective. The FY 2021 organizational transformation 

efforts served to increase collaboration throughout the agency 

and was designed to empower the AOC workforce to provide a 

consistently high level of service excellence. 
Performance Information | SECTION 02 77

Strategic Objective 2.0: Strategically plan, allocate and manage 

resources AOC-wide

This strategic objective ensures that the AOC deploys resource 

planning, allocation and management capabilities in a 

systematic manner. 

During FY 2021, the AOC placed heavy emphasis on the 

introduction and establishment of its initiatives to provide an 

enterprisewide framework for making the best decisions on behalf 

of the agency. For instance, the Enterprise Asset Management and 

Vision 2100 initiatives are intended to promote an efficient and 

effective organization that uses data to make optimal operational 

and strategic decisions for the Capitol campus’ buildings and 

infrastructure. This implementation is to be aligned with the desired 

AOC culture, which is addressed in its new Cultural Behaviors 

Transformation initiative.

The AOC’s Human Capital Strategy initiative also served as a 

key component of this strategic objective. The initiative aims to 

transform the AOC’s human capital landscape by ensuring workforce 

readiness, closing skills gaps through employee development and 

maximizing employees’ talents, skill sets and competencies to 

enhance the achievement of AOC’s mission.

For more information on the initiatives, including the milestones 

to measure progress, this year’s Performance Information 

section includes an additional section, Supplement: Architect’s 

Strategic Initiatives.

In the aftermath of the events of January 6, 2021, the AOC’s dedicated 

employees worked to return the buildings and grounds to a serviceable 

condition, allowing Congress to certify election results and readying the 

U.S. Capitol for the 59th Presidential Inauguration. Shown here, an AOC 

employee repairs a door frame damaged during the breach.
78 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Operate as One Team, Dedicated to One Mission

The AOC fosters an environment that rewards growth, cooperation, inclusivity and accountability. 

In FY 2021, the following employees exemplified the AOC’s mission to serve, preserve and inspire:

LINDA CORBUS

House Office Buildings

Linda’s behind-the-scenes work as a program 

specialist is instrumental to the management 

and preservation of the physical assets 

located in the House office buildings. Her 

responsiveness, reliability and leadership 

help the jurisdiction meet its mission.

CHRIS HILLEGAS

Supreme Court Building and Grounds

Chris provided oversight on two “Star 

Projects” at the Thurgood Marshall 

Federal Judiciary Building for the Building 

Automation System and elevator upgrades. 

Despite challenging pandemic conditions, 

the projects were completed within 

schedule and budget and with a stellar 

safety record.

RONN JACKSON

U.S. Capitol Visitor Center

Ronn is one of the CVC’s best ambassadors, 

whether serving as a tour guide or as a 

commentator for the Joint Congressional 

Committee on Inaugural Ceremonies during 

the 59th Presidential Inauguration.

CHRIS KING

Capitol Building

An electrician supervisor, Chris provides an 

example for how to manage a productive 

trade shop while also prioritizing staff safety. 

Throughout the pandemic, with its reduced 

staffing levels, Chris has consistently worked 

alongside his staff to ensure projects were 

completed on time.

JAMIE LEE

Office of the Chief Engineer

Jamie oversaw multiple large and 

complicated design projects, including 

stone repairs for the Thomas Jefferson 

Building and roof upgrades for the Dirksen 

Senate Office Building. On these projects, 

Jamie has consistently worked through 

unique fall protection and materials 

abatement issues.

TANISHA BROWN

Office of the Chief 

Administrative Officer

A human resources assistant, Tanisha 

embodies professionalism, excellent 

customer service and the concept 

of teamwork for the Human Capital 

Management Division’s customers. Tanisha is 

an excellent ambassador for the AOC.
Performance Information | SECTION 02 79

JOSEPH LEMON

Library Buildings and Grounds

As the Supervisor of the Fort Meade 

Operations and Maintenance Branch, Joe is 

responsible for operating and maintaining 

the Library’s off-site storage facility as well 

as the 100-acre campus. Joe embraces 

customer service and is quick to lead, 

challenge and motivate his team to tackle 

their large responsibilities.

LESLIE MATTHAEI

Office of the Chief

Administrative Officer

Leslie completed a major upgrade to the 

AOC’s official photography database while 

maintaining uninterrupted reference services 

for the agency. In addition, she also worked 

to preserve the AOC’s collection of historical 

glass plate negatives, directing their housing, 

cataloging and delivery to high-security 

cold storage.

CHRISTOPHER MURPHY

Senate Office Buildings

Christopher has provided outstanding 

leadership during the pandemic, remaining 

on site to manage Senate Service Center 

staff, maintain 24/7 building operations, 

coordinate socially distanced special events 

and provide exceptional service to the 

Senate community.

K AV YA NA IR

Office of the Chief Financial Officer

Kavya’s enthusiasm and flexibility allows her 

to provide outstanding customer service 

on a variety of budgeting and reporting 

tasks — making her a key asset for the AOC. 

She has identified multiple business process 

improvements, resulting in quicker, robust 

and more reliable data for the agency. 

COURTNEY “TERRY” 

NICHOLLS

U.S. Botanic Garden

Terry has worked diligently throughout 

the pandemic to keep the U.S. Botanic 

Garden’s employees safe. He coordinated 

the acquisition of sanitizing supplies, 

established protocols for office and vehicle 

use and performed proactive hazard 

analyses of all tasks where social distancing 

was challenging.

JAMES O’KEEFE

Capitol Power Plant

As Deputy Director of the Capitol Power 

Plant, James has helped transform 

the organization and has been a true 

leader and mentor. The AOC thanks James 

and wishes him well as he begins a welldeserved retirement.

MARY OEHRLEIN

Office of the Chief Engineer

Mary is the AOC’s Historic Preservation 

Officer. Her technical expertise in stone and 

metal preservation has been instrumental 

to the AOC’s preservation efforts across the 

Capitol campus. A leader in her field, Mary is 

frequently invited to publish and present in 

national forums.

RICK SEISS

Supreme Court Building 

and Grounds

A night shift supervisor, Rick regularly leads 

overnight renovation projects and has 

shown through his leadership that there is 

no task too small. This year he oversaw the 

removal of graffiti on the Supreme Court 

of the United States exterior marble finish, 

as well as sidewalk stains caused by postJanuary 6 security fencing.

NOT PICTURED:

ALBERT KAMINSKY JR.

Office of Safety and Code Compliance

As a general engineer, Albert demonstrates unparalleled commitment to the 

AOC. He manages a critical life-safety program across the Capitol campus and 

collaborated with federal agencies to implement the AOC’s pandemic response.

SCOTT DRUMMOND

Office of the Chief Security Officer

As the Assistant Director, Facilities Management Division, Scott led the effort to 

install temporary fencing around the outer perimeter of the Capitol campus and 

the Supreme Court of the United States after the events of January 6, 2021. Scott 

was also instrumental in supporting the U.S. Capitol Police requirements for 

special events, including the Presidential Inauguration.
80 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Supplement: Architect’s Strategic Initiatives

In October 2020, to accomplish work under the four strategic goals, 

the AOC identified key initiatives for its FY 2021 Performance Plan as 

opportunities for change and important to the agency’s long-term 

success. These seven ASI are the AOC’s new strategic priorities. The 

initiatives include:

 Reorganization

 AOC University

 Building Official

 Cultural Behaviors Transformation

 Enterprise Asset Management

 Human Capital Strategy

 Vision 2100 Master and Strategic Plans

These priorities aim to transform the nature of the AOC and serve as 

the foundation for long-term and short-term strategies, including 

the next five-year Strategic Plan.

Reorganization: Building a Structure to 

Support the AOC’s People and Mission

In FY 2021, the AOC launched a Reorganization to develop a 

governance structure that would increase accountability, clarify 

roles and responsibilities, and better support the jurisdictions 

and stakeholders. The AOC created an Office of the Architect and 

a C-suite as the foundation for this governance structure. The 

agency began documenting and formalizing responsibilities and 

authorities within the C-suite and across senior leadership and 

the jurisdictions. As the roles and responsibilities within this new 

governance structure are formalized, documented, communicated 

and ingrained in the AOC’s day-to-day operations, they will provide 

a mechanism to define performance standards so that the AOC can 

hold leaders at every level accountable. The operational jurisdictions 

are combined under the Office of the Chief of Operations and the 

business units supporting the operational elements are grouped 

together based on their specializations — for example, finance, 

security, engineering and administration. This new organizational 

structure will enable timely and well-informed decisions for efficient 

and effective operations. 

AOC University: Training for the Future

The AOC needs an integrated enterprise-level structure to train and 

advance employees at all levels and across specialties. Establishment 

of the AOC University is underway to create a sustainable corporatelevel structure to train employees, inspire their experiences and 

foster their career growth and development. It will also create a 

robust mechanism to fill skill gaps throughout the agency and 

provide continuing education and certification to maintain and 

advance careers. The AOC University will support the growth and 

advancement components of the Human Capital Strategy and 

provide a progressive curriculum for every role in the organization 

based on professional career path and learning goals. Each 

employee will have access to the courses they need to progress on 

their chosen career path and fill the skill gaps that the AOC faces. 

In FY 2021, the AOC began researching and benchmarking training 

and development needs and determining the best way to approach 

workforce education, professional development, upskilling and 

reskilling across the enterprise. Once implemented, the AOC 

University will allow employees to access training, which will 

enhance skill sets and confidence in employee capabilities.

Building Official: Keeping Agency Staff 

and Customers Safe 

The AOC established a Building Official program to improve how the 

agency oversees safety and code compliance. The Building Official 

program has central oversight to ensure consistency of processes 

and compliance with nationally recognized codes and standards 

for construction and infrastructure. As part of the Building Official 

program, all facility construction efforts will undergo plan reviews, 

construction inspections and acceptance testing. The Building 

Official program will also document code compliance based on the 

new standards with building permits, Certificates of Completion 

and Certificates of Occupancy. All work performed at AOC-managed 

facilities and grounds will meet established building codes and 

enterprise facility standards. In FY 2021, the Building Official 

program designed and implemented a permitting process and 

began piloting several projects.

Cultural Behaviors Transformation: Creating 

the Environment the AOC Wants

The Cultural Behaviors Transformation initiative was established to 

strengthen the AOC’s values and empower employees to practice 

those values every day. Without these efforts, the AOC will not 

have the cultural workplace landscape that drives employee 

satisfaction and employee engagement. This initiative aims to 

minimize employee conflicts and disputes, eliminate harassment 

and discrimination and enhance efficient operations and employee 

effectiveness. It will focus on creating a positive and adaptive culture 

that meets workforce and customer needs. 

The AOC will transform the workplace landscape, educate 

employees on integrating techniques aimed at a maintaining a 

healthy workplace culture and teach employees how to access and 

use resources and services. These cultural behaviors will become 

standards that will be expected of all employees and enforced by 

frontline supervisors. 

Success will be reflected in the AOC employee and client experience 

through surveys and other data collection mechanisms, both 

quantitative and qualitative. In FY 2021, approximately 500 

employees engaged in group sessions aimed at building a positive 

workplace culture. Topics for these sessions included resolving 

conflict through conversation and building and maintaining 

workplace trust. Additionally, the AOC launched four newly defined 

agency core values (Respect, Integrity, Safety, Empower — RISE) 

and engaged more than 300 employees in RISE training and 

campaign efforts.
Performance Information | SECTION 02 81

Enterprise Asset Management: Providing the 

Tools to Track and Maintain Current Assets 

and Plan for Future Needs

The AOC has a substantial $2.05 billion deferred maintenance 

backlog for its facilities, with physical assets managed by multiple 

jurisdictions using various systems and maintenance standards. To 

be good stewards of its facilities, the AOC requires a robust plan 

for addressing and reducing the maintenance backlog, as well 

as an enterprisewide mechanism to track and monitor its assets 

and optimize their performance. Enterprise Asset Management 

(EAM) is aimed at solving this problem and will facilitate capital 

investment decisions by mitigating outdated technology, restoring 

reliability, reducing long-term costs and providing a system to 

forecast resource needs and requirements. EAM will also assist 

tracking and maintaining current assets and planning for future 

asset and resource needs. When fully implemented, EAM will provide 

unified agency maintenance standards, which will aid the agency’s 

preventive maintenance program. With more reliable assets, 

employees will encounter fewer untimely and unforeseen repairs 

or out-of-service assets. In FY 2021, the AOC began assessing the 

current situation to better understand how to make the most of an 

EAM system and develop a road map for continuous improvement 

across the agency. The AOC also hosted external partner workshops 

with federal agencies to discuss asset management programming 

and systems. 

Human Capital Strategy: Attracting and 

Incentivizing the Best Possible Workforce

The AOC faces a constant demand for specialized skills with a limited 

supply stream to fill positions for trade, artisan and crafts positions. 

The agency’s aging workforce possesses legacy knowledge on 

maintaining the facilities and grounds on the Capitol campus, and 

there is currently no system in place for documenting or transferring 

those skillsets or retaining that knowledge as eligible employees 

retire. To fill these gaps, prepare the workforce for the future and 

ensure delivery of the best service to the congressional community, 

the Human Capital Strategy initiative represents the urgent effort 

to modernize employee recruitment, development, advancement, 

retention and well-being programs and processes. Once 

implemented, the strategy will ensure current team members have 

the tools and recognition they require to advance and grow within 

the agency. In FY 2021, more than 200 staff members participated in 

employee focus groups and interviews to inform the development 

of the AOC’s Human Capital Strategy. Employee feedback indicated a 

need for career pathways and development opportunities, improved 

management communication, ongoing mentoring and networking 

opportunities, increased and diversified outreach pathways for new 

talent, and more advancement opportunities. The Human Capital 

Strategy will develop a plan to address the concerns and outline a 

vision for how the AOC hires, trains, promotes career growth and 

seeks to retain employees over the next five years. Once established, 

the initiative will evolve to support ongoing operations, adapting to 

the changing needs of the workforce.

Vision 2100 Master and Strategic Plans: 

Building a Legacy

Vision 2100 is an enterprise-level solution to guide the AOC in 

taking a proactive and unified approach to planning for the future 

of the Capitol campus over the next 80 years. The initiative will 

shape the long-term direction of the agency with a coherent and 

synchronized vision that incorporates the Architect of the Capitol’s 

goals in the service of Congress and the Supreme Court of the 

United States and guides agencywide leadership decisions. The 

execution of Vision 2100 comprises three large-scale initiatives: the 

completed Vision 2100 report, a 20-year Capitol Complex Master 

Plan (CCMP) and five-year Strategic Plans aligned to the CCMP. 

The Master Plan will facilitate planning and help execute specific 

agencywide goals defined in Vision 2100. The Strategic Plans 

will provide clear, shorter-term direction across the agency and 

specify performance measurement specifications over five-year 

increments. In FY 2021, the AOC formed an experienced team of 

futurists, urban planners, organizational development specialists, 

strategic planners and other experts to map the AOC’s future. The 

team developed an engagement plan, which will serve as the road 

map for uncovering challenges that the AOC might face while 

maintaining the Capitol campus, as well as identifying any potential 

implementation roadblocks. Activities within this engagement plan 

are underway.
82 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

The AOC has undertaken a major project to restore the Senate 

Underground Garage, including the rehabilitation of the central 

fountain and reflecting pool located above the garage. In this photo 

of the restored Upper Senate Park, the central fountain water feature 

is illuminated in the early morning hours.
83

Introducing the Principal Financial Statements 

The AOC prepared its principal financial statements to report its 

financial position and results of operations. The AOC prepared the 

statements and notes from its books and records in substantial 

compliance with U.S. generally accepted accounting principles 

(GAAP) for the federal government and the Office of Management 

and Budget (OMB) Circular A-136, Financial Reporting Requirements. 

The statements are in addition to financial reports prepared by the 

AOC in accordance with OMB and U.S. Department of the Treasury 

directives to monitor and control the status and use of budgetary 

resources, which the AOC prepares from the same books and 

records. The statements should be read with the understanding that 

they are for a component of the U.S. government, a sovereign entity. 

The AOC prepares each statement on a comparative basis, showing 

FY 2021 and FY 2020 results. 

The Balance Sheet provides the AOC’s assets, liabilities and net 

position. Net position represents the net investment of the U.S. 

government in the AOC’s assets, less liabilities. 

The Statement of Net Cost provides the gross costs incurred by 

responsibility segment (AOC jurisdiction), net of any exchange or 

earned revenue from activities. The AOC prepares the net cost of 

operations using the proprietary basis of accounting and, unlike 

budgetary accounting, includes the cost of services provided by 

other entities, accruals and noncash expenses such as depreciation 

and amortization. 

The Statement of Changes in Net Position provides the beginning 

net position (unexpended appropriations and cumulative results of 

operations), the transactions that affected net position during the 

period and the ending net position. 

The Combined Statement of Budgetary Resources presents 

information on the budgetary basis of accounting, including the 

availability of budgetary resources and their status at year-end.

The AOC’s Office of Inspector General (OIG) uses an interagency 

agreement with the Library of Congress to procure independent 

auditing services. This fiscal year, the AOC contracted with a new 

auditor. Due to unforeseen contracting delays, the new audit 

contract’s period of performance began after the agency’s typical 

start date. As a result, this fiscal year’s audit completion was delayed 

until June 15, 2022.

SECTION 03

FINANCIAL

INFORMATION
84 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

I am pleased to present the AOC’s Fiscal Year (FY) 2021 audited 

financial statements in this Performance and Accountability Report 

(PAR). The PAR presents the results of our financial team’s efforts to 

accurately account for the resources Congress provides. I am proud 

of the resiliency and perseverance that the AOC and the financial 

management team displayed during this complex and challenging 

year. Enormous credit is due to our dedicated employees, whose 

impressive efforts enabled us to successfully meet our mission. 

Annual Financial Statement Audit

The AOC’s annual financial statement audit is an essential element in 

our internal control program and corporate governance framework. 

This year, a transition of independent financial statement auditors 

resulted in the agency and the Office of Inspector General (OIG) 

delaying the start of our FY 2021 audit. As a result, the audit was not 

completed until June 15, 2022. Despite this delay, and for the 17th 

consecutive year, the AOC achieved an unmodified (“clean”) opinion 

on our annual financial statements for FY 2021, with one material 

weakness and no significant deficiencies. A clean opinion confirms 

that our financial statements are accurate and conform to generally 

accepted accounting principles. Our auditors also determined there 

were no reportable instances of noncompliance with the laws, 

regulations or contracts applicable to the AOC.

Because of our commitment to transparency and strong reporting, 

the AOC seeks the peer review of our annual PAR from the AGA. 

In May 2021, for the 10th consecutive year, the AOC received the 

AGA’s Certificate of Excellence in Accountability Reporting, while our 

companion FY 2020 PAR Highlights report received a Certificate of 

Excellence in Citizen-Centric Reporting. This recognition indicates 

our commitment to financial reporting excellence.

While pleased with these results, the AOC remains committed to 

constantly improving our internal control environment. Although we 

did not concur with the material weakness identified in the FY 2021 

audit (related to a control gap identified for the respective reviews 

of estimates) and believe that our methodology meets federal 

standards, we are committed to implementing a corrective action 

plan as quickly as possible. At the same time, we did not concur with 

the identified control deficiency related to non-generally accepted 

accounting principles for the treatment of prepaid software 

expenses but did concur with the control deficiencies related 

to assessing System and Organization Controls (SOC 1) reports 

and a lack of SOC 1 review and monitoring for the shared service 

financial management system for the legislative branch. We will be 

developing corrective action plans to review key control activities 

for these findings in order to mitigate them promptly.

Our Achievements

In FY 2021, the AOC received more than $1 billion in regular 

appropriations, including $300 million in emergency supplemental 

funding to address future security needs. The supplemental bill 

also provided the agency with $21.9 million for reimbursements 

and other costs related to our COVID-19 response. This year’s 

regular appropriations included $205.9 million to fund multiyear 

capital infrastructure projects that address our priority deferred 

maintenance, safety, security and preservation projects.

The ongoing COVID-19 pandemic has continued to alter the way 

the AOC operates. The OCFO workforce remained in an enhanced 

telework posture throughout FY 2021. Without interruptions or loss 

of performance or efficiency, we met all our required deadlines, 

including statutorily required reports on the CARES Act, the Cannon 

Renewal and Treasury reporting. To account for the full cost of our 

pandemic response efforts, we tracked all expended funds related to 

the COVID-19 pandemic response and maintained reports to keep 

AOC leadership, OIG, GAO and congressional oversight informed. 

After the January 6 security breach, the OCFO quickly responded to 

the emergency and took steps to ensure that funds were available 

for the cleanup and security of the Capitol campus.

Major changes took place within the OCFO in FY 2021. As part of the 

AOC’s Reorganization, a Program Analysis and Evaluation Division 

was created to manage the strategic planning responsibilities that 

were shifted to the OCFO. This will better align the agency’s budget 

processes with the agency’s strategic priorities. The division is 

responsible for leading the development of a five-year fiscal forecast 

and conducting in-depth analysis of AOC programs to increase their 

effectiveness. In addition, through our enterprise risk management 

program, we conducted a risk assessment survey to determine the 

most immediate risks and reprioritize agency activities, as needed. 

Furthermore, to improve our obligation management controls, the 

OCFO continued implementing its web-based, quarterly financial 

review application. This innovative process provides our operational 

jurisdictions with greater information to manage their unliquidated 

obligations and ensure maximum return on investment of resources.

Jonathan Kraft

Chief Financial Officer

Message From the Chief Financial Officer 
Financial Information | SECTION 03 85

We recognize that IT investments provide the foundation for our 

financial management success. Therefore, the OCFO continues to 

prioritize its modernization of our financial systems. The agency 

continued its transition to the Treasury’s Budget Formulation and 

Execution Manager (BFEM), a tool to automate and standardize the 

AOC’s budget formulation process. This application offers important 

functions that will enhance the agency’s effectiveness in projecting 

budget needs. In FY 2021, the agency successfully completed user 

acceptance testing on the system, uploaded FY 2021 data and 

began loading FY 2022 data. Beginning with the FY 2023 budget 

request, the AOC will use BFEM as the primary budget formulation 

tool to prepare our annual budget submission.

The AOC continues to use the Legislative Branch Financial 

Management System (LBFMS), a shared-service environment 

for the federal legislative branch. Multiple system updates were 

made in FY 2021, including a major upgrade to the core financial 

management system, from Momentum® 7.4 to 7.8. The AOC 

also upgraded its inventory management software (Maximo®), 

Momentum® Enterprise Resource Program, Treasury’s Invoice 

Processing Platform, and the CWTSatoTravel E2 Solutions Travel 

System. Additionally, both the LBFMS and Maximo® migrated to 

the Microsoft® Azure cloud while cybersecurity maintenance and 

updates continued for all systems. The AOC also implemented a 

pilot Robotic Process Automation (RPA) project, and multiple RPAs 

assisted with the successful testing of the Momentum® upgrade, 

including changes to the acquisitions module. These enhancements 

enabled efficient processing of our financial data and improved data 

security.

Looking Forward

The AOC strives for continuous improvement to our operations, the 

value of the data we collect, and our ability to accurately account 

for and report on the public funds that we receive. We are also 

working to implement the Treasury’s G-Invoicing platform, which 

will improve our intragovernmental transaction processes, starting 

in FY 2022.

In FY 2022, the AOC will embark on a series of linked and 

overlapping plans with a multiyear outlook. Vision 2100 Master 

and Strategic Plans, a long-term strategic vision that will provide 

an 80-year performance framework for the Capitol campus, is 

under development. When complete, the Vision 2100 will inform 

the agency’s 20-year Capitol Complex Master Plan (CCMP), which 

will in turn guide the next five-year Strategic Plan. In tandem with 

the development of the Vision 2100 and the CCMP, the agency is 

developing a bridge four-year Strategic Plan for FY 2022–2025. This 

three-pronged planning approach enables us to address strategic 

initiatives with better foresight and economy.

Conclusion

I want to thank Congress for its continued support throughout this 

difficult fiscal year. We owe further thanks to our audit partners, 

KPMG and the OIG, for their assistance and professionalism. 

Managing the AOC’s daily financial operations is uniquely 

demanding, and the COVID-19 pandemic required our office to 

adopt new procedures in a maximum telework environment. I am 

incredibly proud of how our team adapted and continues to excel 

in maintaining our operations and ensuring the stewardship of our 

agency’s resources. Our shared commitment to accountability and 

transparency is the foundation of the AOC’s resource management 

and the delivery of reliable and timely financial information to our 

stakeholders.

Sincerely,

Jonathan Kraft

Chief Financial Officer

June 15, 2022
86 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

DATE: 

TO:

FROM: 

June 16, 2022 

J. Brett Blanton

Architect of the Capitol

Christopher P. Failla, CIG

Inspector General

SUBJECT: Audit of Architect of the Capitol’s (AOC) Fiscal Year 2021 Financial

Statements (Audit Report OIG-AUD-2022-04) 

We contracted with the independent public accounting firm KPMG to audit the financial

statements of the AOC as of and for the fiscal year that ended September 30, 2021, to provide 

reports on internal control over financial reporting, and on compliance and other matters. The 

contract required that the audit be performed in accordance with auditing standards generally 

accepted in the United States of America; the standards applicable to financial audits contained 

in Government Auditing Standards, issued by the Comptroller General of the United States; 

Office of Management and Budget Bulletin No. 21-04, Audit Requirements for Federal 

Financial Statements; the U.S. Government Accountability Office’s (GAO) Federal Information 

System Controls Audit Manual; and the GAO/Council of the Inspectors General on Integrity and 

Efficiency Financial Audit Manual. 

In its audit of the AOC, KPMG reported: 

• the financial statements were fairly presented, in all material respects, in accordance with

U.S. Generally Accepted Accounting Principles;

• one material weakness1 in internal control over financial reporting;

• no instances in which the AOC’s financial management systems did not substantially

comply; and

• no reportable noncompliance issues with provisions of laws tested or other matters.

KPMG is responsible for the attached auditor’s report dated June 15, 2022, and the conclusions 

expressed therein. We do not express opinions on the AOC’s financial statements or internal

control over financial reporting, or conclusions on compliance and other matters. 

1 A material weakness is a deficiency, or combination of deficiencies, in internal control, such that there is a 

reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or 

detected and corrected, on a timely basis.

 Office of Inspector General

 Fairchild Bldg.

 499 S. Capitol St., SW, Suite 518

 Washington, D.C. 20515 United States Government 202.593.1948

 www.aoc.gov MEMORANDUM

Inspector General Transmittal
Financial Information | SECTION 03 87

 

If you have any questions or wish to discuss this report, please contact Sharmaine Carter at 

202.538.1830 or Sharmaine.Carter@aoc.gov. 

Distribution List:

Peter Bahm, Chief of Staff

Mary Jean Pajak, Deputy Chief of Staff

Jonathan Kraft, Chief Financial Officer

William O’Donnell, Chief Administrative Officer

Jonathan Migas, Chief Information Officer 

Jason Baltimore, General Counsel

Chere Rexroat, Chief Engineer 

Valerie Hasberry, Chief Security Officer

Antonio Edmonds, Acting Chief of Operations

James Kaufmann, Director, Capitol Grounds & Arboretum 

Michael Lewis, Acting Supervisory Engineer, Library Buildings and Grounds 

Stephanie Jones, Supervisory Engineer, Senate Office Buildings

Mark Reed, Superintendent, U. S. Capitol Building 

David Wilder, Superintendent, House Office Buildings 

Patricia Williams, Director, Office of Safety and Code Compliance 

Joseph Campbell, Facilities Manager, Supreme Court Buildings and Grounds 

Susan Pell, Acting Executive Director, U.S. Botanic Garden 

Beth Plemmons, Chief Executive Officer for Visitor Services

Christopher Potter, Director, Utilities and Power Plant Operations

Inspector General Transmittal (continued)
88 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Independent Auditors’ Report

Inspector General of Architect of the Capitol

Architect of the Capitol: 

Report on the Financial Statements

We have audited the accompanying financial statements of the Architect of the Capitol (AOC), which comprise 

the balance sheet as of September 30, 2021 and the related statements of net cost and changes in net 

position, and combined statement of budgetary resources for the year then ended, and the related notes to the 

financial statements. 

Management’s Responsibility for the Financial Statements

Management is responsible for the preparation and fair presentation of these financial statements in 

accordance with U.S. generally accepted accounting principles; this includes the design, implementation, and 

maintenance of internal control relevant to the preparation and fair presentation of financial statements that are 

free from material misstatement, whether due to fraud or error.

Auditors’ Responsibility

Our responsibility is to express an opinion on these financial statements based on our audit. We conducted our 

audit in accordance with auditing standards generally accepted in the United States of America, in accordance 

with the standards applicable to financial audits contained in Government Auditing Standards issued by the 

Comptroller General of the United States, and in accordance with Office of Management and Budget (OMB) 

Bulletin No. 21-04, Audit Requirements for Federal Financial Statements. Those standards and OMB Bulletin 

No. 21-04 require that we plan and perform the audit to obtain reasonable assurance about whether the 

financial statements are free from material misstatement.

An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the 

financial statements. The procedures selected depend on the auditors’ judgment, including the assessment of 

the risks of material misstatement of the financial statements, whether due to fraud or error. In making those 

risk assessments, the auditor considers internal control relevant to the entity’s preparation and fair presentation 

of the financial statements in order to design audit procedures that are appropriate in the circumstances, but 

not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. Accordingly, we 

express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and 

the reasonableness of significant accounting estimates made by management, as well as evaluating the overall 

presentation of the financial statements.

We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our 

audit opinion.

Opinion 

In our opinion, the financial statements referred to above present fairly, in all material respects, the financial 

position of the Architect of the Capitol as of September 30, 2021, and its net costs, changes in net position, and

budgetary resources for the year then ended in accordance with U.S. generally accepted accounting principles.

KPMG LLP

Suite 12000

1801 K Street, NW

Washington, DC 20006

KPMG LLP, a Delaware limited liability partnership and a member firm of 

the KPMG global organization of independent member firms affiliated with 

KPMG International Limited, a private English company limited by guarantee. 

Independent Auditors’ Report
Financial Information | SECTION 03 89

Other Matters

Financial Statements as of and for the Year Ended September 30, 2020

The accompanying financial statements of the AOC as of September 30, 2020 and for the year then ended 

were audited by other auditors whose report thereon dated November 20, 2020, expressed an unmodified 

opinion on those financial statements.

Interactive Data

Management has elected to reference to information on websites or other forms of interactive data outside the 

Performance and Accountability Report to provide additional information for the users of its financial 

statements. Such information is not a required part of the basic financial statements or supplementary 

information required by the Federal Accounting Standards Advisory Board. The information on these websites 

or the other interactive data has not been subjected to any of our auditing procedures, and accordingly we do 

not express an opinion or provide any assurance on it. 

Required Supplementary Information

U.S. generally accepted accounting principles require that the information in the Management’s Discussion and 

Analysis and Required Supplementary Information sections be presented to supplement the basic financial 

statements. Such information, although not a part of the basic financial statements, is required by the Federal 

Accounting Standards Advisory Board who considers it to be an essential part of financial reporting for placing 

the basic financial statements in an appropriate operational, economic, or historical context. We have applied 

certain limited procedures to the required supplementary information in accordance with auditing standards 

generally accepted in the United States of America, which consisted of inquiries of management about the 

methods of preparing the information and comparing the information for consistency with management’s 

responses to our inquiries, the basic financial statements, and other knowledge we obtained during our audit of 

the basic financial statements. We do not express an opinion or provide any assurance on the information 

because the limited procedures do not provide us with sufficient evidence to express an opinion or provide any 

assurance.

Other Information

Our audit was conducted for the purpose of forming an opinion on the basic financial statements as a whole. 

The Table of Contents, Websites and Media Platforms, Fiscal Year 2021 Performance and Accountability 

Highlights, Message from the Architect of the Capitol, Performance and Accountability Report Introduction, The 

Year in Photos, Section 02: Performance Information, Introducing the Principal Financial Statements, Message 

from the Chief Financial Officer, Inspector General Transmittal, Architect of the Capitol’s Response to the 

Inspector General, Section 04: Other Information, and the Appendices are presented for purposes of additional 

analysis and are not a required part of the basic financial statements. Such information has not been subjected 

to the auditing procedures applied in the audit of the basic financial statements, and accordingly, we do not 

express an opinion or provide any assurance on it. 

Other Reporting Required by Government Auditing Standards

Internal Control over Financial Reporting

In planning and performing our audit of the financial statements as of and for the year ended September 30, 

2021, we considered the AOC’s internal control over financial reporting (internal control) as a basis for 

designing audit procedures that are appropriate in the circumstances for the purpose of expressing our opinion 

on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of the AOC’s 

internal control. Accordingly, we do not express an opinion on the effectiveness of the AOC’s internal control. 

Independent Auditors’ Report (continued)
90 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Our consideration of internal control was for the limited purpose described in the preceding paragraph and was 

not designed to identify all deficiencies in internal control that might be material weaknesses or significant 

deficiencies and therefore, material weaknesses or significant deficiencies may exist that have not been 

identified. However, as described in the accompanying Schedule of Findings, we did identify certain 

deficiencies in internal control that we consider to be a material weakness.

A deficiency in internal control exists when the design or operation of a control does not allow management or 

employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, 

misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in 

internal control, such that there is a reasonable possibility that a material misstatement of the entity’s financial 

statements will not be prevented, or detected and corrected, on a timely basis. A significant deficiency is a 

deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet 

important enough to merit attention by those charged with governance. We consider the deficiencies described

in the accompanying Schedule of Findings within Exhibit I to be a material weakness. 

Compliance and Other Matters

As part of obtaining reasonable assurance about whether the AOC’s financial statements as of and for the year 

ended September 30, 2021 are free from material misstatement, we performed tests of its compliance with 

certain provisions of laws, regulations, and contracts, noncompliance with which could have a direct and 

material effect on the financial statements. However, providing an opinion on compliance with those provisions 

was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests 

disclosed no instances of noncompliance or other matters that are required to be reported under Government 

Auditing Standards or OMB Bulletin No. 21-04. 

Management’s Responses to Findings

The AOC’s responses to the findings identified in our audit are described in the accompanying Schedule of 

Findings. The AOC’s responses were not subjected to the auditing procedures applied in the audit of the 

financial statements and, accordingly, we express no opinion on the responses. 

Purpose of the Other Reporting Required by Government Auditing Standards

The purpose of the communication described in the Other Reporting Required by Government Auditing 

Standards section is solely to describe the scope of our testing of internal control and compliance and the 

results of that testing, and not to provide an opinion on the effectiveness of the AOC’s internal control or 

compliance. Accordingly, this communication is not suitable for any other purpose. 

Washington, D.C.

June 15, 2022 

Independent Auditors’ Report (continued)
Financial Information | SECTION 03 91

Independent Auditors’ Report

Exhibit I – Material Weakness 

The weakness in internal control existed during the year ended September 30, 2021. The determination 

of which control deficiencies rise to the level of a material weakness, or a significant deficiency is based 

on an evaluation of the impact of control deficiencies identified, considered individually and in the 

aggregate, on the Architect of the Capitol (AOC) financial statements as of and for the year ended 

September 30, 2021. The associated entity level controls, as defined by the Standards for Internal Control 

in the Federal Government issued by the Comptroller General of the United States (Green Book), are 

also identified in relation to the control activities in the corresponding areas of this Exhibit.

Control Gap Identified for Retrospective Reviews of Estimates

Background: 

The preparation of the Architect of the Capitol’s (AOC) financial statements requires management to 

make certain estimates and assumptions that affect the reported amounts of liabilities and the associated 

expenses as of September 30, 2021. During the Fiscal Year (FY) 2021 audit of the AOC’s financial 

statements, we identified that management did not conduct a complete retrospective review to validate 

the estimates of its Environmental and Accounts Payable Liabilities.

Conditions:

The AOC did not design and implement the control activities to achieve objectives and respond to risks as 

required by Green Book principle 10, Design Control Activities. Specifically, the AOC did not: 

• Design a control to conduct a retrospective review to validate the use of its primary cost rate factors in

determining its estimate of Environmental Liabilities. Specifically, the AOC did not validate that the

cost rates used were indicative of actual costs incurred.

• Effectively design its control over the retrospective review of its Accounts Payable accrual to consider

the results of retrospective reviews performed throughout the FY. Specifically, the AOC did not define

the accounts payable accrual validation precisely enough to capture all expenses incurred in the

current year that should have been accrued for in the prior year.

Causes: 

These deficiencies are a result of insufficient entity level controls as follows: 

• Green Book principle 6 requires that “Management should define objectives clearly to enable the

identification of risks and define risk tolerances.”

• Green Book principle 7 requires that “Management should identify, analyze, and respond to risks

related to achieving the defined objectives.”

• Green Book principle 14 requires that “Management should internally communicate the necessary

quality information to achieve the entity’s objectives.”

• Green Book principle 16 requires that “Management should establish and operate monitoring

activities to monitor the internal control system and evaluate the results.”

Effects: 

The deficiency in the control over the retrospective review for Environmental Liabilities resulted in the 

AOC correcting Note 16 Commitments and Contingencies by increasing the disclosed upper end of the 

range of the liability by $169 million above the original point estimate. 

Independent Auditors’ Report (continued)
92 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Independent Auditors’ Report

Exhibit I – Material Weakness 

The deficiency in the control over the retrospective review for Accounts Payable resulted in an auditor 

identified known under accrual of $11.5 million, and an additional judgmental under accrual of $26.3

million. This uncorrected misstatement is summarized within the Summary of Audit Misstatements

attached to the management representation letter. 

Recommendations: 

We recommend that the AOC: 

1. Develop and implement a control to complete a retrospective review of the Environmental Liability

annually. That review should be used to validate the cost factors used and make appropriate

adjustments when needed.

2. Develop and implement a more precise accounts payable accrual by re-considering the results of the

quarterly Accounts Payable validations and the impact on the existing accrual methodology and

considering an adjustment to its accrual percentage to capture periods not covered by the current

accrual model.

Management’s Response

Management does not concur with the findings based on our assessment of the business processes 

against the conditions outlined by KPMG. While we do not concur with all the findings, we remain 

committed to strong financial management and will continue to review and refine our financial processes 

to strengthen our financial stewardship.

Auditors’ Response

We evaluated management’s nonconcurrence and determined the findings remain valid.

Independent Auditors’ Report (continued)
Financial Information | SECTION 03 93

Architect of the Capitol’s Response 

to the Inspector General
94 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Architect of the Capitol

BALANCE SHEET

As of September 30, 2021 and 2020 ($ in Thousands)

Financial Statements

2021 2020

ASSETS (Note 2)

Intragovernmental

Fund Balance with Treasury (Note 3) $ 1,249,032 $ 1,014,778 

Investments (Note 5) 11,727 20,366 

Accounts Receivable, Net (Note 6) 643 607 

Advances and Prepayments (Note 10) 2,902 214 

Total Intragovernmental $ 1,264,304 $ 1,035,965 

With the Public

Cash and Other Monetary Assets (Note 4) $ 14 $ 14 

Accounts Receivable, Net (Note 6) 279 357 

Inventory and Related Property, Net (Note 7) 1,351 1,185 

General Property, Plant and Equipment, Net (Note 8) 2,548,752 2,450,456 

Investments (Note 5) 10,755 10,761 

Total With the Public $ 2,561,151 $ 2,462,773 

TOTAL ASSETS $ 3,825,455 $ 3,498,738 

Stewardship PP&E (Note 9)

LIABILITIES (Note 11)

Intragovernmental

Accounts Payable:

Benefit Program Contributions Payable $ 7,790 $ 8,720 

Accounts Payable 113 104 

Advances from Others and Deferred Revenue (Note 10) 26,521 44,327 

Other Liabilities (Note 14) 7 2 

Total Intragovernmental $ 34,431 $ 53,153 

With the Public

Accounts Payable $ 1,711 $ 3,429 

Federal Debt and Interest Payable (Note 12) 45,610 58,229 

Federal Employee and Veteran Benefits Payable 68,618 70,279 

Environmental and Disposal Liabilities (Note 13) 179,022 79,062 

Other Liabilities (Note 14) 122,786 139,579 

Total With the Public $ 417,747 $ 350,578 

TOTAL LIABILITIES $ 452,178 $ 403,731 

Commitments and Contingencies (Note 16)

NET POSITION

Unexpended Appropriations $ 1,063,173 $ 801,991 

Cumulative Results of Operations 2,310,104 2,293,016 

TOTAL NET POSITION $ 3,373,277 $ 3,095,007 

TOTAL LIABILITIES AND NET POSITION $ 3,825,455 $ 3,498,738 

The accompanying footnotes are an integral part of these financial statements.
Financial Information | SECTION 03 95

Architect of the Capitol

STATEMENT OF NET COST

For the Years Ended September 30, 2021 and 2020 ($ in Thousands)

PROGRAM COSTS 2021 2020

Capital Construction and Operations

Gross Costs $ 132,664 $ 144,755 

Less: Earned Revenue (703) (657)

Net Program Costs 131,961 144,098 

Capitol Building

Gross Costs 74,885 60,161 

Less: Earned Revenue (463) (428)

Net Program Costs 74,422 59,733 

Capitol Grounds and Arboretum

Gross Costs 16,335 15,927 

Less: Earned Revenue (24) (33)

Net Program Costs 16,311 15,894 

Capitol Police Buildings, Grounds and Security

Gross Costs 52,401 33,359 

Less: Earned Revenue — —

Net Program Costs 52,401 33,359 

Capitol Power Plant

Gross Costs 112,263 99,827 

Less: Earned Revenue (9,036) (9,044)

Net Program Costs 103,227 90,783 

House Office Buildings

Gross Costs 163,398 108,757 

Less: Earned Revenue (9,668) (10,499)

Net Program Costs 153,730 98,258 

Library Buildings and Grounds

Gross Costs 78,246 59,086 

Less: Earned Revenue (6,164) (12,238)

Net Program Costs 72,082 46,848 

Senate Office Buildings

Gross Costs 115,644 85,924 

Less: Earned Revenue (71) (1,056)

Net Program Costs 115,573 84,868 

Supreme Court Building and Grounds

Gross Costs 38,156 59,557 

Less: Earned Revenue (50,598) (50,588)

Net Program Costs (12,442) 8,969 

U.S. Botanic Garden

Gross Costs 15,584 16,684 

Less: Earned Revenue — —

Net Program Costs 15,584 16,684 

U.S. Capitol Visitor Center

Gross Costs 33,010 29,968 

Less: Earned Revenue (171) (2,210)

Net Program Costs 32,839 27,758 

Net Cost of Operations (Note 23) $ 755,688 $ 627,252

The accompanying footnotes are an integral part of these financial statements.
96 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Architect of the Capitol

STATEMENT OF CHANGES IN NET POSITION

For the Years Ended September 30, 2021 and 2020 ($ in Thousands)

2021 2020

UNEXPENDED APPROPRIATIONS

Beginning Balance $ 801,991 $ 895,155 

Appropriations Received (Note 19) $ 1,007,560 $ 728,504 

Other Adjustments (2,933) (3,424)

Appropriations Used (743,445) (818,244)

Net Change in Unexpended Appropriations $ 261,182 $ (93,164)

Total Unexpended Appropriations, Ending $ 1,063,173 $ 801,991 

CUMULATIVE RESULTS OF OPERATIONS

Beginning Balance $ 2,293,016 $ 2,079,830 

Appropriations Used $ 743,445 $ 818,244 

Nonexchange Revenue 2 97 

Transfers In/(Out) Without Reimbursement 2,847 122 

Imputed Financing (Note 17) 26,482 21,975 

Net Cost of Operations (755,688) (627,252)

Net Change in Cumulative Results of Operations $ 17,088 $ 213,186 

Cumulative Results Of Operations, Ending $ 2,310,104 $ 2,293,016 

NET POSITION $ 3,373,277 $ 3,095,007

The accompanying footnotes are an integral part of these financial statements.
Financial Information | SECTION 03 97

Architect of the Capitol

COMBINED STATEMENT OF BUDGETARY RESOURCES

For the Years Ended September 30, 2021 and 2020 ($ in Thousands)

2021 2020

BUDGETARY RESOURCES

Unobligated Balance from Prior Year Budget Authority, Net (Note 20) $ 507,889 $ 642,614 

Appropriations (Note 19) 1,007,570 728,531 

Borrowing Authority 4,630 5,662 

Spending Authority from Offsetting Collections 41,790 59,990 

Total Budgetary Resources $ 1,561,879 $ 1,436,797 

STATUS OF BUDGETARY RESOURCES

New Obligations and Upward Adjustments (Total) $ 747,799 $ 964,489 

Unobligated Balance, End of Year:

Exempt from Apportionment, Unexpired Accounts 786,717 449,356 

Unexpired Unobligated Balance, End of Year 786,717 449,356 

Expired Unobligated Balance, End of Year (Note 3) 27,363 22,952 

Unobligated Balance, End of Year (Total) 814,080 472,308 

Total Budgetary Resources $ 1,561,879 $ 1,436,797 

OUTLAYS, NET

Outlays, Net (Total) (Discretionary and Mandatory) 766,384 797,098 

Agency Outlays, Net (Note 23) $ 766,384 $ 797,098 

The accompanying footnotes are an integral part of these financial statements.
98 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Architect of the Capitol

Notes to the Financial Statements

For the Years Ended September 30, 2021, and 2020

NOTE 1: SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES ............................................................................................................................................................ 99

A Reporting Entity ............................................................................................................................................................................................................................. 99

B. Basis of Accounting and Presentation ................................................................................................................................................................................... 99

C. Fund Balance with Treasury .....................................................................................................................................................................................................100

D. Accounts Receivable ..................................................................................................................................................................................................................100

E. Investments ...................................................................................................................................................................................................................................100

F. Advances to others and Prepayments .................................................................................................................................................................................100

G. Trust and Revolving Funds .......................................................................................................................................................................................................100

H. Recognition of Financing Sources .........................................................................................................................................................................................101

I. Operating Materials and Supplies .........................................................................................................................................................................................102

J. Inventory ........................................................................................................................................................................................................................................102

K. Public-Private Partnerships ......................................................................................................................................................................................................102

L. General Property, Plant and Equipment, Net ....................................................................................................................................................................102

M. Stewardship Property, Plant and Equipment ....................................................................................................................................................................103

N. Liabilities .........................................................................................................................................................................................................................................103

O. Personnel Compensation and Benefits ...............................................................................................................................................................................103

P. Statement of Net Cost ...............................................................................................................................................................................................................104

Q. Use of Estimates ...........................................................................................................................................................................................................................104

R. Classified Activities .....................................................................................................................................................................................................................104

NOTE 2: NON-ENTITY ASSETS ........................................................................................................................................................................................................................105

NOTE 3: FUND BALANCE WITH TREASURY ...............................................................................................................................................................................................105

NOTE 4: CASH AND OTHER MONETARY ASSETS .....................................................................................................................................................................................105

NOTE 5: INVESTMENTS .....................................................................................................................................................................................................................................106

NOTE 6: ACCOUNTS RECEIVABLE, NET .......................................................................................................................................................................................................107

NOTE 7: INVENTORY AND RELATED PROPERTY, NET.............................................................................................................................................................................107

NOTE 8: GENERAL PROPERTY, PLANT AND EQUIPMENT, NET ...........................................................................................................................................................108

NOTE 9: STEWARDSHIP PP&E ........................................................................................................................................................................................................................109

NOTE 10: ADVANCES AND PREPAYMENTS ..................................................................................................................................................................................................110

NOTE 11: LIABILITIES NOT COVERED BY BUDGETARY RESOURCES ....................................................................................................................................................110

NOTE 12: FEDERAL DEBT AND INTEREST PAYABLE...................................................................................................................................................................................111

NOTE 13: ENVIRONMENTAL AND DISPOSAL LIABILITIES .......................................................................................................................................................................112

NOTE 14: OTHER LIABILITIES ............................................................................................................................................................................................................................112

NOTE 15: LEASES ..................................................................................................................................................................................................................................................113

NOTE 16: COMMITMENTS AND CONTINGENCIES .....................................................................................................................................................................................114

NOTE 17: IMPUTED FINANCING ......................................................................................................................................................................................................................115

NOTE 18: NET COST OF OPERATIONS RELATED TO PAYROLL ...............................................................................................................................................................116

NOTE 19: RECONCILIATION OF SCNP APPROPRIATIONS TO SBR.........................................................................................................................................................116

NOTE 20: STATEMENT OF BUDGETARY RESOURCES—UNOBLIGATED BALANCE BROUGHT FORWARD, OCTOBER 1 .....................................................116

NOTE 21: UNDELIVERED ORDERS AT THE END OF THE PERIOD ...........................................................................................................................................................117

NOTE 22: EXPLANATION OF DIFFERENCES BETWEEN THE COMBINED STATEMENT OF 

BUDGETARY RESOURCES AND THE BUDGET OF THE U.S. GOVERNMENT ....................................................................................................................117

NOTE 23 RECONCILIATION OF NET COST TO NET OUTLAYS ................................................................................................................................................................117

NOTE 24 COVID-19 ACTIVITY ..........................................................................................................................................................................................................................120
Financial Information | SECTION 03 99

On February 2–3, 2021, the flags at the U.S. Capitol were lowered to half-staff in honor of Officer Brian D. Sicknick, who was injured in the line of duty on January 6, 2021 

and succumbed to his injuries the next day. (Unaudited)

NOTE 1

SUM M ARY O F SI G N I FI C AN T 

ACCOUNTING POLICIES

A . R E P O R T I N G E N T I T Y 

The Architect of the Capitol (AOC) is an agency within the legislative 

branch of the federal government. Initially authorized by Congress 

to provide “suitable buildings and accommodations for the Congress 

of the United States,” its role has expanded to include responsibility 

for the maintenance, operation, development and preservation of 

the Capitol Building; Capitol Grounds and Arboretum; Capitol Police 

Buildings, Grounds and Security; House Office Buildings; Library 

Buildings and Grounds; Senate Office Buildings; Supreme Court 

Building and Grounds; Capitol Power Plant; U.S. Botanic Garden 

(USBG) and U.S. Capitol Visitor Center (CVC). 

The AOC is also responsible for:

 Supporting Congress during official national events (e.g., 

Presidential Inaugural Ceremonies) held at the U.S. Capitol or on 

the Capitol Grounds and Arboretum

 Providing steam and chilled water to the Supreme Court, 

Thurgood Marshall Federal Judiciary building (the Marshall 

Building), Union Station and the Folger Shakespeare Library, and 

steam-only to the Government Publishing Office (GPO) and the 

Postal Square building

 Providing educational programs and guide services to visitors at 

the CVC and USBG

Some of the assets and liabilities reported by AOC may be 

eliminated from Government-wide reports because they are offset 

by assets and liabilities of another U.S. Government entity. These 

financial statements should be read with the realization that they are 

for a component of the U.S. Government, a sovereign entity.

B. BA S I S O F ACCO U N T I N G A N D PR E S E N TAT I O N 

As a legislative branch agency, AOC is not required to follow the 

accounting standards promulgated by the Federal Accounting 

Standards Advisory Board (FASAB). Also, AOC has not formally 

adopted the Government Management and Reform Act of 

1994, the Federal Managers Financial Integrity Act of 1982, the

Federal Financial Management Improvement Act of 1996, or the 

Government Performance and Results Modernization Act of 2010, 

as these apply only to executive branch agencies. Nonetheless, 

AOC refers to these regulations as a general guide for best practices 

and incorporates them into its financial management practices, 

as appropriate. Also, AOC has adopted U.S. Generally Accepted 

Accounting Principles (GAAP) for financial reporting in a manner 

consistent with other federal agencies. Therefore, AOC’s financial 

statements have been prepared in conformity with GAAP as 

promulgated by FASAB. The American Institute of Certified Public 

Accountants (AICPA) recognizes FASAB standards as GAAP for federal 

reporting entities. 

The AOC records both proprietary and budgetary accounting 

transactions. Following the accrual method of accounting, revenues 

are recognized when earned and expenses are recognized when 

incurred, without regard to the actual collection or payment of cash.

Federal budgetary accounting recognizes the obligation and use 

of available budget authority and other fund resources upon the 

establishment of a properly documented legal obligation. The 

recognition of budgetary accounting transactions is essential for 

compliance with legal controls over the use of federal funds and for 

compliance with appropriations law.

In FY 2021, the Office of Management and Budget (OMB) has 

changed the required format of the Balance Sheet for all significant 

reporting entities to reflect more detail for certain line items. 

The AOC has implemented this change, which will support the 

preparation and audit of the Government-wide Financial Report 

and will standardize the Balance Sheet across significant entities, 

increasing its usefulness to financial report users. 
100 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

C . FU N D BA L A N C E W I T H T R E A SU RY 

The AOC maintains most available fund balances with the U.S. 

Department of Treasury (Treasury). Fund Balance with Treasury 

(FBWT) represents the unexpended balances of expenditure and 

receipt accounts (see Note 3). Budget authority, receipts and 

disbursements are processed by Treasury, and AOC’s records are 

reconciled with those accounts on a regular basis. In addition to 

the FBWT, AOC also has other cash deposits and investments that 

are held in accounts outside of Treasury, as described in Notes 4 

and 5, respectively.

FBWT is an asset of AOC and a liability of the General Fund of 

the government. The amount represents commitments by the 

government to provide resources for particular programs, but does 

not represent net assets to the government as a whole. 

When AOC (like other reporting entities) seeks to use FBWT 

to liquidate budgetary obligations, Treasury will finance the 

disbursements in the same way it finances all other disbursements, 

using some combination of budget authority, collections and other 

inflows, and borrowing from the public (if there is a budget deficit).

D. ACCOUNTS RECEIVABLE

The AOC’s receivables may include, but are not limited to amounts 

due for steam and chilled water provided to other agencies, food 

service commissions from operations at the CVC and Senate 

restaurants, flag-flying fees and employees’ payroll-related debt. If 

applicable, accounts receivable from federal (intragovernmental) 

and non-federal sources may be reduced to net realizable value 

by the Allowance for Doubtful Accounts, which is based on 

management’s review of outstanding receivables (see Note 6). 

The AOC is legislatively authorized to retain a predetermined 

amount of steam and chilled water reimbursements to cover current 

year obligations. Any receivable (and subsequent collection) over 

the predetermined amount (Congressional cap) is a non-entity asset 

that is credited to Treasury’s Miscellaneous Receipts account.

E. INVESTMENTS

All investments are reported at their acquisition (par) value, net 

of amortized premiums and discounts, as it is AOC’s intent to 

hold long-term investments to maturity. Purchases and sales of 

investments are recorded as of the trade date. Investment income 

is reported when earned. The market value of an investment is the 

market value at the end of the current reporting period.

Intragovernmental (Investments Held With Treasury)

The Capitol Visitor Center Act of 2008 (2 U.S.C. § 2201 et seq.) 

allows for proceeds from the sale of the CVC Gift Shops’ inventory, 

restaurant commissions and miscellaneous collections from the 

CVC Gift Shops to be invested in government securities through the 

Bureau of the Fiscal Service’s webbased application, Fed Invest. By 

law, interest income is credited to the fund. 

Public (Investments Held Outside Treasury)

The AOC has funds invested by a trustee outside of Treasury as 

a result of financing the construction of the Marshall Building. 

Congress did not appropriate funds for the construction of the 

building but, instead, authorized the use of private financing 

to cover its cost. In 1989, AOC entered into a Development 

Management Agreement with Boston Properties for the design, 

development and construction of the Thurgood Marshall Building. 

Shearson Lehman Hutton Inc. and Kidder, Peabody, & Co. Inc. issued 

30-year Serial Zero Coupon Certificates of Participation to finance 

its construction. The discount on the purchase reflects the absence 

of coupon interest payments and is amortized over the life of these 

certificates. Pursuant to the Trust Agreement, the proceeds were 

received by a trustee, The United States Trust Company of New York 

(now The Bank of New York Mellon). These proceeds were deposited 

into two funds, the Project Fund and the Operating Reserve Fund, 

to cover the costs of the construction project. In 2007, the Project 

Fund balance was transferred to the Operating Reserve Fund. The 

Operating Reserve Fund is held outside the Treasury by the trustee 

and, at AOC’s direction, the funds are invested and disbursed. 

The balance in the Operating Reserve Fund is held in reserve for 

future needs of the building (e.g., roof replacement or other major 

renovation) (see Note 5). 

F. ADVANCES TO OTHERS AND PREPAYMENTS

Advances to others and Prepayments consist of amounts advanced 

by AOC to other federal trading partners for services to be provided 

under interagency agreements (see Note 10).

G . T R US T A N D R E VO LV I N G FU N D S 

Trust and Special Funds

The AOC has stewardship responsibility for one trust fund account, 

the National Garden Trust Fund, and one special fund account, the 

Capitol Trust Account. 

The National Garden Trust Fund is subject to the direction of the 

Joint Committee on the Library (of Congress) and was established to 

accept gifts or bequests of money, plant material and other property 

on behalf of the USBG. While this trust fund account still exists, it has 

a zero balance and is inactive. 

The Capitol Trust Account was established pursuant to Public 

Law (P.L.) 113-76. The balance in this fund consists of permit fees 

collected by the U.S. Capitol Police (USCP) to cover cleanup and 

other costs incurred by AOC as a result of commercial activity that is 

conducted in the area known as Union Square. Funds in this account 

are available for maintenance, improvements and other Union 

Square projects subject to the approval of the Committees of the 

House of Representatives and Senate.

Revolving Funds

The AOC has stewardship responsibility for seven revolving funds to 

account for various programs and operations. Each of these funds 

is a distinct fiscal and accounting entity that accounts for cash and 

other financial resources together with all related liabilities and 

equities. These revolving funds are:

 House (of Representatives) Gymnasium Revolving Fund 

 Senate Health and Fitness Facility Revolving Fund

 Senate Restaurant Revolving Fund

 Judiciary Office Building Development and Operations Fund 

 CVC Revolving Fund
Financial Information | SECTION 03 101

 Recyclable Materials Revolving Fund

 Flag Office Revolving Fund

The House (of Representatives) Gymnasium Revolving Fund was 

established in the Treasury for AOC to deposit dues paid by members 

and other authorized users of the House of Representatives Wellness 

Center. The AOC may expend fund amounts to pay for the operation of 

the facility.

The Senate Health and Fitness Facility Revolving Fund was 

established to deposit membership dues collected from authorized 

users of the Senate Health and Fitness Facility and proceeds from 

AOC’s Senate recycling program. The AOC, subject to the approval 

of the Senate Committee on Appropriations, may expend fund 

amounts to pay for the preservation and maintenance of the facility. 

The Senate Restaurant Revolving Fund was established in 1961 

for the operation of the Senate restaurants. In 2008, control of the 

Senate restaurants was transferred to a private vendor and AOC took 

over its accounting functions. Following the transfer, the revolving 

fund is no longer used for the operation of the restaurants, but the 

account still exists for activities resulting from the conversion and 

continuing maintenance of the restaurants. Upon approval by the 

Senate Committee on Rules and Administration, available balances 

may be increased via transfers in from the U.S. Senate to AOC, 

as needed.

The Judiciary Office Building Development and Operations Fund 

is used to pay expenses related to the structural, mechanical and 

domestic care, maintenance, operation and utilities of the Thurgood 

Marshall Building. The fund includes an investment that is held 

outside Treasury with The Bank of New York Mellon, via a Trust 

Agreement established to finance the construction of the Thurgood 

Marshall Building.

The CVC Revolving Fund is used to administer funds from the sale of 

the Gift Shops’ inventory, the deposit of miscellaneous receipts from 

the CVC Gift Shops, commissions paid to the CVC for food service 

operations and any fees collected from other functions within 

the CVC facility. This business-type revolving fund is invested in 

government securities through the Bureau of the Fiscal Service.

The Recyclable Materials Revolving Fund was established to collect 

the proceeds from the sale of recyclable materials from across 

AOC (excluding the Senate, which pursuant to 2 U.S.C. § 2026 (b) 

(2), deposits such funds in the Senate Health and Fitness Facility 

Revolving Fund). Available funds in this account may be used to 

carry out recycling programs or other programs that promote 

energy savings at AOC.

The Flag Office Revolving Fund was established pursuant to P.L. 115-

31 for services provided by the AOC Flag Office. The balance in this 

fund consists of flag fees collected by the Flag Office and is available 

for the Flag Office’s expenses, including: 

 supplies, inventories, equipment and other expenses

 reimbursement of any applicable appropriations account for 

amounts used from such appropriations account to pay the 

salaries of employees of the Flag Office

 amounts necessary to carry out the authorized levels in the Fallen 

Heroes Flag Act of 2016

Funds from Dedicated Collections

Statements of Federal Accounting Standards (SFFAS) No. 27 Identifying 

and Reporting Funds from Dedicated Collections, as amended 

by SFFAS No. 43, Dedicated Collections: Amending SFFAS No. 27, 

Identifying and Reporting Funds, defines funds from dedicated 

collections as financed by specifically identified revenues, provided to 

the government by non-federal sources, often supplemented by other 

financing sources, which remain available over time. These specifically 

identified revenues and other financing sources are required by 

statute to be used for designated activities, benefits, or purposes, and 

must be accounted for separately from the Government’s general 

revenues. As of the current reporting period, there are no AOC funds 

that meet the criteria for funds from dedicated collections.

H . R E CO G N I T I O N O F FI N A N C I N G S O U R C E S 

The AOC receives funding to support its programs through 

appropriations and offsetting collections authorized by Congress. 

Funding for operating and capital expenditures is received as 

annual, multiyear, and no-year appropriations. This includes funding 

provided in the Coronavirus Aid, Relief, and Economic Security 

(CARES) Act, under the Capital Construction and Operations (CCO) 

account as well as other emergency supplemental appropriations. 

The appropriations that AOC manages are listed below. Inactive 

funds are included below for full disclosure. 

1. Capitol Building

 Capitol Building

 Flag Office Revolving Fund

2. Capitol Grounds and Arboretum 

 Capitol Grounds and Arboretum

 West Central Front (inactive)

 Capitol Trust Account (Union Square)

3. Capitol Police Buildings, Grounds and Security 

 Capitol Police Buildings, Grounds and Security

4. Capital Construction and Operations 

 Capital Construction and Operations

 Recyclable Materials Revolving Fund 

 Americans with Disabilities Act (inactive)

 Congressional Cemetery (inactive)

5. House Office Buildings

 House Office Buildings

 House Office Buildings Fund

 House of Representatives Gymnasium Revolving Fund

 House Historic Buildings Revitalization Trust Fund

6. Library Buildings and Grounds

 Library Buildings and Grounds

7. Senate Office Buildings 

 Senate Office Buildings

 Senate Health and Fitness Facility Revolving Fund

 Senate Restaurant Revolving Fund

8. Capitol Power Plant 

 Capitol Power Plant 

9. U.S. Botanic Garden 

 Botanic Garden

 National Garden (inactive)
102 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

A close-up of the Declaration of Independence, part of the bronze statue 

of Thomas Jefferson located in the U.S. Capitol Rotunda. (Unaudited)

10. U.S. Capitol Visitor Center 

 U.S. Capitol Visitor Center 

 U.S. Capitol Visitor Center Revolving Fund

11. Supreme Court Building and Grounds

 Supreme Court

 Judiciary Office Building Development and Operations Fund

In 1989, the AOC received borrowing authority to finance the cost 

of the Marshall Building construction. Even though the AOC did 

not directly sell the zero coupon certificates to the public, the debt 

is treated substantively the same as direct federal construction 

financed by direct federal borrowing since it is guaranteed by the 

federal government. The annual payment and amortization of the 

debt is reflected in these financial statements as a resource realized 

from borrowing authority (see Note 12). The AOC’s borrowing 

authority was fully utilized to issue the public bonds and, therefore, 

the AOC has no additional available borrowing authority at this 

time. As a component of the Government-wide reporting entity, 

the AOC is subject to the federal budget process, which involves 

appropriations that are provided annually and appropriations 

that are provided on a permanent basis. The financial transactions 

that are supported by budgetary resources, which include 

appropriations, are generally the same transactions reflected 

in agency and the Government-wide financial reports. These 

budgetary resources reflect past congressional actions that enable 

the entity to incur budgetary obligations in a given year. Budgetary 

obligations are legal obligations for goods, services, or amounts to 

be paid based on statutory provisions (e.g., employee benefits). 

I . O PE R AT I N G M AT E R I A L S A N D SU PPL I E S 

The AOC’s materials and supplies consist of tangible personal property 

consumed during normal operations. Per SFFAS No. 3, Accounting 

for Inventory and Related Property, operating materials and supplies 

are recorded using the purchases method. The AOC currently uses 

this method, which provides that operating materials and supplies 

be expensed when purchased. Operating materials and supplies are 

purchased using funds specifically appropriated to AOC’s jurisdictions. 

Therefore, the related usage of those materials and supplies is 

intended for those specific jurisdictions making the purchases.

J. INVENTORY

Inventory consists of retail goods purchased for resale at the CVC’s 

Gift Shops. It is recorded at historical cost, using the weighted 

average valuation method, in accordance with SFFAS No. 3, 

Accounting for Inventory and Related Property. The recorded values 

may be adjusted based on the results of periodic physical inventory 

counts. Inventory purchased for resale may be categorized as 

follows: (1) purchased goods held for current sale, (2) purchased 

goods held in reserve for future sale and (3) slow-moving, excess 

or obsolete inventory. Examples of the retail goods included in 

inventory are books, apparel, ornaments and other souvenirs. The 

AOC may also record an allowance which is based on slow-moving, 

excess or obsolete and damaged inventory, or as a result of known 

restrictions on the sale or disposition of inventory (see Note 7).

K. PUBLIC-PRIVATE PARTNERSHIPS

In FY 2016, AOC entered into a contract with the Washington Gas 

Light Company to construct a cogeneration facility. Cogeneration, 

also known as combined steam and power, uses a single fuel source 

and simultaneously produces electricity and steam. This facility 

provides heat and electricity for use by AOC and its jurisdictions and 

other federal agencies, with excess capacity being sold potentially to 

non-federal entities as well. The AOC has evaluated this arrangement 

against the disclosure requirements outlined in SFFAS No. 49, PublicPrivate Partnerships (P3) and determined that cogeneration does 

not meet the conclusive and suggestive characteristics of a P3 (see 

Notes 11, 14 and 16).

The Energy Policy Act of 1992 authorized the use of private sector 

financing to implement energy conservation methods and energyefficient technologies by federal entities. These contracts provide 

technical services and upfront project financing and allow federal 

agencies to pay off the project costs over a period not to exceed 

25 years. Per OMB Memoranda M-98-13 and M-12-21, obligations, 

budget authority and outlays for these energy savings projects will 

be recognized on an annual basis when due, rather than recording 

the full obligation upfront.

L . G E N E R A L P R O P E R T Y, P L A N T A N D 

EQUIPMENT, NET

The AOC records property at cost, in accordance with SFFAS 6, 

Accounting for Property, Plant and Equipment. Real property 

and equipment are depreciated over their estimated useful lives, 

which range from three to 40 years, using the straight-line method. 

Depreciation is based on the half-year and full-month conventions for 

buildings and equipment, respectively. All property (real and personal) 

is in AOC’s possession and there is nothing held by others (see Note 8).
Financial Information | SECTION 03 103

The following table presents AOC’s capitalization thresholds and 

related useful lives:

PROPERTY TYPE USEFUL LIFE (YEARS)

CAPITALIZATION

THRESHOLD

Real Property 40 $500,000

Improvements 20 $500,000

Equipment and 

Vehicles 3–15 $25,000

Assets Under 

Capital Lease

Shorter of Lease Term or Useful 

Life of Property Type

See Related

Property Type

Internal Use Software 

(Intellectual Property) 3 $5,000,000

M . S T E WA R D S H I P P R O P E R T Y, P L A N T 

A N D E Q U I PM E N T 

Stewardship land and heritage assets have physical properties that 

resemble those of General Property, Plant and Equipment (PP&E), 

which are traditionally capitalized in the financial statements. 

Due to the nature of stewardship assets, however, determining a 

monetary value would be difficult, and matching costs with specific 

periods may not be possible or meaningful. Heritage assets are 

PP&E that are unique and are generally expected to be preserved 

indefinitely. Heritage assets have historical or natural significance; 

are of cultural, educational, or artistic importance or have significant 

architectural characteristics. These assets are reported in terms 

of physical units rather than cost or other monetary values per 

SFFAS No. 29, Heritage Assets and Stewardship Land. There are two 

types of heritage assets: collection, which are objects gathered and 

maintained for exhibition, such as museum and art collections; 

and non-collection, which are parks, memorials, monuments 

and buildings. The AOC holds both collection and non-collection 

heritage stewardship assets (see Note 9). 

N. LIABILITIES

Liabilities represent the amounts owed to others for goods or 

services received, claims against the agency and other probable 

future outflows of resources as a result of past transactions or 

current conditions (e.g., debt or environmental cleanup liabilities). 

Some liabilities are funded while others are classified as “unfunded” 

because no liability may be paid without an enacted appropriation. 

For example, accrued unfunded annual leave and workers’ 

compensation remain unfunded until future appropriations are 

enacted to cover these costs. The Balance Sheet includes, but is not 

limited to the following types of liabilities: 

Accounts Payable 

Accounts Payable are amounts owed by AOC to vendors, contractors 

and federal agencies for goods and services received but not yet 

paid at the end of the reporting period.

Advances from Others and Deferred Revenue

Advances from Others and Deferred Revenue consists of amounts 

advanced to AOC by other federal trading partners for services to be 

provided under reimbursable agreements (see Note 10).

Federal Debt and Interest Payable

The AOC recognizes a liability for the 30-year Coupon Certificates of 

Participation issued to finance the Marshall Building construction. 

The liability is reduced by semi- annual payments of principal and 

interest. These payments are secured by the rent collected from the 

Administrative Office of the U.S. Courts. Interest payable is accrued 

for the coupon certificates as well as the financed portion of the 

cogeneration facility (see Note 12). 

Contract Holdbacks (included in Other Liabilities)

Contract Holdbacks (retainage) consists of a percentage of the 

contract price that is due to the vendor or contractor but is held 

by AOC to provide assurance that the service or project will be 

completed as required by the contract terms. The amount that is 

held-back is released to the vendor or contractor upon satisfactory 

completion of the service or project (see Note 14).

Environmental and Disposal Liabilities

The AOC accounts for contingencies in accordance with SFFAS No. 5, 

Accounting for Liabilities of the federal Government. This standard 

defines a contingency as an existing condition, situation, or set of 

circumstances involving uncertainty as to the possible gain or loss 

to an entity that will ultimately be resolved when one or more future 

events occur or fail to occur. Management recognizes a contingent 

liability for liabilities equal to or greater than $100 thousand when 

a past transaction or event has occurred, a future outflow or other 

sacrifice of resources is probable and the related future outflow is 

measurable (see Note 13).

SFFAS No. 5 also provides criteria for recognizing a contingent 

liability for material amounts of environmental cleanup costs 

that are related to general and stewardship PP&E used in federal 

operations. In accordance with Technical Bulletin 2006-1, 

Recognition and Measurement of Asbestos-Related Cleanup Costs, 

AOC recognizes a liability and related expense for friable and 

non-friable asbestos cleanup costs when it is both probable and 

reasonably estimable — consistent with SFFAS No. 5, SFFAS No. 6, 

and Technical Release No. 2 (see Note 13).

O. PERSONNEL COMPENSATION AND BENEFITS

Annual and Other Leave

Annual leave is recognized as an expense and a liability as it is 

earned. The liability is reduced as leave is taken. The accrued 

leave liability is principally long-term in nature and is classified as 

unfunded. Other types of leave are expensed when taken and no 

future liability is recognized for these amounts.

Federal Employees’ Compensation Act Benefits

The FECA program is administered by the U.S. Department of Labor 

(DOL), which initially pays valid claims and subsequently seeks 

reimbursement from the federal agencies employing the claimants 

(Accounts Payable). The DOL determines the actuarial liability 

for claims outstanding at the end of each fiscal year. This liability 

includes the estimated future costs of death benefits, workers’ 

compensation and medical and miscellaneous costs for approved 

compensation cases (Federal employee and veteran benefits 

payable / see Note 11).
104 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

The AOC is responsible for maintaining the lights and buzzers, such as 

the voting lights bar in the U.S. Capitol’s Senate Chamber, shown here. 

The lights help Members of Congress monitor floor activities in their 

respective chambers. (Unaudited)

Pensions

Most employees of AOC participate in one of three definedbenefit retirement programs based on their employment start 

date. Employee and AOC contributions are made to the Civil 

Service Retirement System (CSRS), the CSRS Offset or the Federal 

Employees Retirement System (FERS) – all administered by the 

Office of Personnel Management (OPM). Employees may also 

participate in the Thrift Savings Plan (TSP), a defined contribution 

retirement savings and investment plan, as authorized by the 

Federal Employees Retirement System Act of 1986. The Federal 

Retirement Thrift Investment Board administers this plan. 

The AOC also withholds the necessary payroll deductions for 

employee contributions. 

The AOC is not responsible for and does not report CSRS, FERS 

assets, accumulated plan benefits or liabilities applicable to its 

employees on its financial statements. The OPM is responsible to 

report these amounts. The AOC recognizes an imputed financing 

source for the difference between the estimated OPM service cost 

and the sum of participants’ pension withholdings and Agency 

contributions (see Note 17).

Health Benefits and Life Insurance 

The AOC recognizes a current-period expense for the future cost of 

post-retirement health benefits and life insurance for its employees 

while they are actively employed. This amount is also considered 

imputed financing (see Note 17). 

P. S TAT E M E N T O F N E T CO S T

The Statement of Net Cost (SNC) is presented by responsibility 

segment (which are AOC jurisdictions), in accordance with SFFAS 

No. 4, Managerial Cost Accounting Standards and Concepts. The 

AOC believes the responsibility segment approach currently 

provides cost information to its stakeholders in a direct, informative 

and succinct manner. 

The 11 responsibility segments reported on the SNC are 

identified below. 

 Capital Construction and Operations

 Capitol Building

 Capitol Grounds and Arboretum

 Capitol Police Buildings, Grounds and Security

 Capitol Power Plant

 House Office Buildings

 Library Buildings and Grounds 

 Senate Office Buildings

 Supreme Court Building and Grounds

 U.S. Botanic Garden

 U.S. Capitol Visitor Center

Revenues reported on the SNC are principally recorded on a direct 

cost recovery basis.

Q. USE OF ESTIMATES

The preparation of financial statements in conformity with GAAP 

requires management to make certain estimates and assumptions. 

These estimates and assumptions affect the reported amounts 

of assets, liabilities (including contingent liabilities), revenues, 

financing sources, expenses and obligations incurred during the 

reporting period. These estimates are based on management’s 

best knowledge of current events, historical experience and 

other assumptions that are believed to be reasonable under the 

circumstances. Estimates are subject to a wide range of variables, 

including assumptions on future economic and financial events. 

Accordingly, actual results may differ from those estimates.

R. CLASSIFIED ACTIVITIES

Accounting standards require all reporting entities to disclose 

that accounting standards allow certain presentations and 

disclosures to be modified, if needed, to prevent the disclosure of 

classified information.
Financial Information | SECTION 03 105

NOTE 2:

NON-ENTITY ASSETS

Non-entity assets are those held by AOC but are unavailable 

for use in its operations. Activities that may give rise to nonentity assets include:

 Monocle Restaurant rent collections

 USBG palm tree rental proceeds

 Repayment of employees’ debt, which was established in funds 

that are now canceled

 Steam and chilled water collections over the annual 

Congressional cap (see Note 1.D). 

Upon receipt, these funds are not available for AOC to use and are 

transferred to Treasury.

The AOC’s non-entity assets as of September 30, 2021, and 2020, 

were as follows:

Dollars in Thousands

NON-ENTITY ASSETS 2021 2020

With the Public

Accounts Receivable, Net (Note 6) $ 7 $ 2

Total Non-Entity Assets $ 7 $ 2 

Total Entity Assets $ 3,825,448 $ 3,498,736

Total Assets $ 3,825,455 $ 3,498,738

Non-Entity Accounts Receivable consist of Employee Payroll 

Receivables, which are reduced as the debt is collected.

NOTE 3:

FU N D BAL AN CE W I T H T R E A SU RY 

FBWT is classified in the following categories: 

a) Unobligated Balance

Unobligated Balance Available includes unexpired budget authority. 

The amount disclosed in this note as Unobligated Balance Available 

may not reconcile to the amount reported as Unobligated-Exempt 

from apportionment on the Combined Statement of Budgetary 

Resources (SBR) due to anticipated collections (closed out at 

year end) and budgetary resources that are not part of the FBWT 

such as investments (see Note 5). Additionally, any amounts in 

FBWT for which the related budgetary authority is restricted 

will not reconcile to the SBR. The AOC has unobligated balances 

derived from offsetting collections for space rented in the O’Neill 

Building. These amounts are available for future obligations upon 

congressional appropriation.

Unobligated Balance Unavailable represents expired budget 

authority that is no longer available to incur new obligations 

unless authorized by Congress. An example of this is for FECA and 

unemployment payments, which are derived from expired balances.

b) Obligated Balance Not Yet Disbursed

Obligated Balance not yet Disbursed includes undelivered orders or 

orders that have been received but not yet paid for. 

c) Non Budgetary FBWT

Non Budgetary FBWT (if applicable) includes unavailable 

miscellaneous receipts and suspense accounts that have no 

associated budget authority. 

Dollars in Thousands

FUND BALANCE WITH 

TREASURY TYPE 2021 2020

Unobligated Balance

Available $ 791,307 $ 444,677

Unavailable 27,363 22,952

Obligated Balance not yet Disbursed 430,362 547,149 

Non Budgetary FBWT — —

Total $ 1,249,032 $ 1,014,778

The increase in Unobligated Balance Available is mainly due to the 

emergency supplemental appropriations received in FY 2021 for 

funding AOC’s response to the events at the U.S. Capitol on January 

6, 2021 and for coronavirus response.

In FY 2021 the decrease in Obligated Balance not yet Disbursed 

reflects the payment of prior year obligations related to various 

capital improvement projects for the House and Senate Office 

Buildings, such as the Cannon House Office Building renewal and 

the Senate Underground Garage projects.

NOTE 4:

C A SH AN D OT H E R M O N E TARY A SSE T S 

Cash and Other Monetary Assets include change-making funds held 

in a bank outside Treasury for the CVC Gift Shops’ operations and 

undeposited daily sales from the Gift Shops (if applicable). There 

are no restrictions on cash. The CVC remains closed for public tours 

since Thursday, March 12, 2020 at 4:30 p.m. due to public health 

concerns associated with COVID-19. While the CVC Gift Shops 

remain closed, CVC began utilizing an e-commerce sales platform 

during the first quarter of FY 2021. There are no undeposited 

collections to be reported for the year ended September 30, 2021.

The cash balances as of September 30, 2021, and 2020, are 

as follows:

Dollars in Thousands

CASH AND OTHER MONETARY ASSETS 2021 2020

Cash Imprest Funds $ 14 $ 14 

Total $ 14 $ 14
106 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

NOTE 5:

I N V E S TM E N T S 

Intragovernmental Investments are comprised of proceeds from 

CVC Gift Shops sales and restaurant commission receipts. These 

amounts are invested with Treasury’s Bureau of the Fiscal Service 

and are classified as intragovernmental. Investments with the 

public comprise the investment of the Thurgood Marshall Building 

Operating Reserve Fund with the Bank of New York Mellon. The 

FY 2021 Intragovernmental Investments, Net decreased due to 

additional CVC spending related to the Exhibition Hall Renovation 

Project and decreased collections from the CVC Gift Shops as a 

result of the COVID-19 pandemic-related closures. Although the CVC 

Gift Shops are closed, ecommerce sales are ongoing since the first 

quarter of FY 2021.

The difference in the type of certificates (one-day, six-month 

and one-year, as applicable) reflects the maturity of previously 

held securities. Upon maturity, the proceeds from six-month 

and one-year securities remain in one-day certificates until they 

are utilized to cover necessary expenses or reinvested in longer 

term certificates.

At September 30, 2021, Dollars in Thousands 

INVESTMENTS SHARES/PAR

AMORTIZED 

PREMIUM (NET 

OF DISCOUNT)

INTEREST

RECEIVABLE

INVESTMENTS, 

NET

UNREALIZED 

GAIN/(LOSS) MARKET VALUE

INTRAGOVERNMENTAL, NONMARKETABLE:

Capitol Visitor Center Revolving Fund

One Day Certificate, 0.05% Annual Yield Maturing 

10/1/2021 $ 6,726 $ — $ — $ 6,726 $ — $ 6,726

Six Month Certificate, 0.05% Annual Yield Maturing 

1/13/2022 5,001 — — 5,001 — 5,001

Total Intragovernmental $ 11,727 $ — $ — $ 11,727 $ — $ 11,727

With the Public, Held to Maturity:

The Bank of New York Mellon Operating Money 

Market Fund (DREYFUS) $ 10,755 $ — $ — $ 10,755 $ — $ 10,755

Total With the Public $ 10,755 $ — $ — $ 10,755 $ — $ 10,755

Total Investments $ 22,482 $ — $ — $ 22,482 $ — $ 22,482

At September 30, 2020, Dollars in Thousands

INVESTMENTS SHARES/PAR

AMORTIZED 

PREMIUM (NET 

OF DISCOUNT)

INTEREST 

RECEIVABLE

INVESTMENTS,

NET

UNREALIZED 

GAIN/(LOSS)

MARKET

VALUE

INTRAGOVERNMENTAL, NONMARKETABLE:

Capitol Visitor Center Revolving Fund

One Day Certificate, 0.07% Annual Yield Maturing 

10/1/2020 $ 11,325 $ — $ — $ 11,325 $ — $ 11,325

Six Month Certificate, 0.125% Annual Yield Maturing 

01/21/2021 5,003 (2) — 5,001 1 5,002

One Year Certificate, 1.45% Annual Yield Maturing 

01/28/2021 4,059 (19) — 4,040 18 4,058

Total Intragovernmental $ 20,387 $ (21) $ — $ 20,366 $ 19 $ 20,385

With the Public, Held to Maturity:

The Bank of New York Mellon Operating Money 

Market Fund (DREYFUS) $ 10,761 $ — $ — $ 10,761 $ — $ 10,761 

Total With the Public $ 10,761 $ — $ — $ 10,761 $ — $ 10,761

Total Investments $ 31,148 $(21) $ — $ 31,127 $ 19 $ 31,146
Financial Information | SECTION 03 107

NOTE 6:

ACCOUNTS RECEIVABLE, NET

The AOC’s Accounts Receivable as of September 30, 2021, and 2020, 

are as follows:

Dollars in Thousands

ACCOUNTS RECEIVABLE 2021 2020

Intragovernmental

Entity $ 643 $ 607

Total Intragovernmental $ 643 $ 607

With the Public

Entity $ 272 $ 355 

Non-Entity 7 2

Total With the Public $ 279 $ 357

Total $ 922 $ 964

Based on analysis of historical collections and write-offs, all accounts 

are currently considered collectible and there is no allowance for 

doubtful accounts as of the current period. 

The increase in Intragovernmental Accounts Receivable is mainly 

due to higher steam and chilled water usage in the last quarter of 

FY 2021 as opposed to FY 2020. The decrease in the Entity Accounts 

Receivable with the Public is mainly due to the timely collection of 

the outstanding steam and chilled water receivables during FY 2021 

as opposed to FY 2020. See Note 2, Non-Entity Assets for the 

explanation of the increase in Non-Entity Accounts Receivable. 

NOTE 7:

I N V E N TO RY AN D R E L AT E D 

PROPERT Y, NET

Inventory consists of retail goods that were purchased for resale at 

the CVC’s Gift Shops.

Inventory, as of September 30, 2021, and 2020, is as follows:

Dollars in Thousands

INVENTORY CATEGORY 2021 2020

Purchased Goods Held for Current Sale $ 1,351 $ 1,185

Total $ 1,351 $ 1,185

The change in Inventory is due to additional inventory purchases to 

support the e-commerce sales platform. The physical CVC Gift Shops 

remain closed due to the ongoing COVID-19 pandemic.

The CVC Retail Division responded to a Department of State request 

for assistance in providing U.S. made products for the USA Pavilion 

at World Expo 2020-21. The retail team supplied products from 

the current inventory for the Expo (formerly known as the World’s 

Fair), which is being held in Dubai. The project provided a unique 

opportunity to increase the visibility of our U.S. made vendors and 

small businesses, while reducing current inventory levels. This was 

especially helpful during the ongoing closure of the CVC.

In the U.S. Capitol Rotunda, a contractor cleans the bronze statue of 

President Ronald Reagan. This sculpture, part of the National Statuary Hall 

Collection since 2009, required maintenance after the U.S. Capitol breach 

on January 6, 2021. (Unaudited)

Inventory on hand may include damaged items which consist of 

broken and/or stained merchandise that are no longer in saleable 

condition, such as display items. Discontinued or defective 

merchandise may also be restricted from future sales and carried as 

damaged inventory until disposed. 

The AOC may record an allowance which is based on slow-moving, 

excess or obsolete and damaged inventory, if applicable. Based 

upon management’s reviews and the most recent inventory count, 

all damaged inventory was disposed in accordance with normal 

operating practices. Therefore, there is no damaged or restricted 

inventory to report as of September 30, 2021.
108 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

NOTE 8:

GENERAL PROPERT Y, PLANT AND EQUIPMENT, NET

The AOC records property and equipment by distinct categories as shown in the following table (see Note 1.L for AOC’s capitalization thresholds 

and related useful lives).

The following charts represent AOC’s real property and equipment values, by asset category, as of September 30, 2021, and 2020:

At September 30, 2021, Dollars in Thousands

CLASS OF PROPERTY AND EQUIPMENT ACQUISITION VALUE ACCUMULATED DEPRECIATION NET BOOK VALUE %

Buildings $ 1,440,184 $ 865,133 $ 575,051 22.6%

Buildings Improvements 2,678,941 1,271,503 1,407,438 55.2%

Capital Leases (Real Property) 40,143 37,647 2,496 0.1%

Leasehold Improvements 19,830 17,987 1,843 0.1%

Equipment and Internal Use Software 34,627 17,544 17,083 0.7%

Land 169,231 — 169,231 6.6%

Land Improvements 150,809 119,119 31,690 1.2%

Other Structures 9,288 5,417 3,871 0.2%

Construction Work-in-Progress 340,049 — 340,049 13.3%

Total $ 4,883,102 $ 2,334,350 $ 2,548,752 100%

At September 30, 2020, Dollars in Thousands

CLASS OF PROPERTY AND EQUIPMENT ACQUISITION VALUE ACCUMULATED DEPRECIATION NET BOOK VALUE %

Buildings $ 1,440,184 $ 838,164 $ 602,020 24.5%

Buildings Improvements 2,362,061 1,167,300 1,194,761 48.8%

Capital Leases (Real Property) 40,143 37,036 3,107 0.1%

Leasehold Improvements 22,934 20,389 2,545 0.1%

Equipment and Internal Use Software 21,686 17,636 4,050 0.2%

Land 169,231 — 169,231 6.9%

Land Improvements 164,010 118,590 45,420 1.9%

Other Structures 9,289 5,057 4,232 0.2%

Construction Work-in-Progress 425,090 — 425,090 17.3%

Total $	 4,654,628	 $	 2,204,172	 $	 2,450,456	 100%

The increase in Building Improvements is primarily due to the 

recognition of additional fixed assets as work is completed on 

various ongoing capital improvement projects, with the largest 

being the Cannon House Office Building Renewal Phase 2. The 

increase in the Building Improvements asset category directly relates 

to the associated decrease in the Construction Work in Progress 

asset category net of new activity during the fiscal year.

The AOC’s current year PP&E activity is as follows:

Dollars in Thousands

CURRENT YEAR ACTIVITY

NET PP&E

Balance at Beginning of year $ 2,450,456

Capitalized Acquisitions 242,879

Dispositions (14,405)

Depreciation Expense* (130,178)

Balance at End of Year $ 2,548,752

* Depreciation expense represents current year change in accumulated depreciation.

The educational, artistic, architectural and historical significance 

of many of AOC’s buildings meet the FASAB criteria for heritage 

assets. Since these buildings are currently used for day-to-day 

business, they are further classified as multi-use heritage assets 

(see Note 9). As a result, they are depreciated in the same manner 

as if they were general purpose assets. Although the original assets 

are fully depreciated, subsequent improvements and betterments 

to the buildings are currently being depreciated in accordance 

with established policy. The AOC is responsible for reviewing and 

authorizing all structural and architectural changes to the buildings 

and grounds prior to any change occurring.
Financial Information | SECTION 03 109

NOTE 9:

STEWARDSHIP PP&E

The AOC maintains and preserves stewardship PP&E related to 

its mission to serve Congress and the Supreme Court, preserve 

America’s Capitol and inspire memorable experiences. Tracing its 

beginnings to the laying of the U.S. Capitol Building cornerstone 

in 1793, authority for the AOC’s care and maintenance of the U.S. 

Capitol was established by legislation in 1876. The agency maintains 

multiple categories of heritage assets, including historic buildings 

and structures, stewardship lands and cultural landscapes, artwork, 

architectural features, reference and library materials, and living 

botanical assets. The AOC shares stewardship responsibility for 

certain heritage assets with the curators for the U.S. Senate and the 

House of Representatives. These heritage assets are categorized 

as joint works of art and included in AOC’s inventory. In addition, 

while AOC is responsible for the architectural fine art adorning the 

Supreme Court of the United States, the collectible fine art within 

the building is cared for by the curator of the Supreme Court of the 

United States.

The AOC’s heritage asset management is guided by the Secretary 

of the Interior’s Standards and Guidelines for Treatment of 

Historic Properties and Cultural Landscapes and by the Code of 

Ethics and Guidelines for Practice of the American Institute for 

Conservation of Historic and Artistic Works. The reference and 

library materials collection is guided by the National Archives and 

Records Administration preservation standards and the living 

botanical assets collection is guided by the standards for care of the 

American Alliance of Museums and Botanic Garden Conservation 

International. The AOC’s stewardship PP&E is described more 

fully in the Required Supplementary Information (RSI). Deferred 

maintenance and repairs are separately disclosed as RSI.

Historic Buildings and Structures

The AOC maintains multiple historic buildings and structures. These 

facilities include the U.S. Capitol Building, Russell Senate Office 

Building, Dirksen Senate Office Building, Hart Senate Office Building, 

Senate Underground Garage, Daniel Webster Page Residence, 

Cannon House Office Building, Longworth House Office Building, 

Rayburn House Office Building, East and West House Underground 

Garages, Ford House Office Building, Thomas Jefferson Building, 

John Adams Building and James Madison Memorial Building. They 

also include the U.S. Botanic Garden (USBG) Conservatory, USBG 

Administration Building, Capitol Power Plant Main Boiler Building, 

Capitol Power Plant East Refrigeration Plant, Capitol Power Plant 

Old Generator Building, the Supreme Court of the United States and 

Thurgood Marshall Federal Judiciary Building. All of these facilities 

are predominantly used in general government operations and 

are considered multiuse heritage assets. Multiuse heritage assets 

are reported at cost, depreciated over their estimated useful life 

and presented as General Property, Plant and Equipment, Net on 

the Balance Sheet. Historic buildings and structures are added or 

withdrawn through congressional action.

Stewardship Lands and Cultural Landscapes

The AOC-administered stewardship land encompasses more than 

570 acres of grounds. This includes the U.S. Capitol Grounds, the 

approximately 286 acres immediately surrounding the U.S. Capitol 

Building designed by noted American landscape architect Frederick 

Law Olmsted. In addition, the heritage assets include cultural 

landscapes such as the Senate Park, Senate office building sites 

and courtyards, House office building sites and courtyards, Botanic 

Garden, National Garden, Bartholdi Park, USBG Administration 

Building site, Union Square, Thomas Jefferson Building site, 

John Adams Building site, James Madison Memorial Building 

site, Supreme Court of the United States site and the Thurgood 

Marshall Building site, as well as the memorial trees planted on the 

U.S. Capitol Grounds to honor distinguished citizens, groups and 

national events. In general, units of stewardship land are added or 

withdrawn through congressional action. Memorial trees are added 

through congressional action or donation and withdrawn due to the 

tree dying or disease. 

An inventory of the memorial trees as of September 30, 2021, and 

2020 follows:

DESCRIPTION 2020 ADDED WITHDRAWN

OTHER 

ADJUSTMENTS 2021 CONDITION

Memorial Trees 150 1 — 1* 152 Poor to 

Excellent

* In FY 2021, the ending inventory was adjusted to include a memorial tree located on the grounds surrounding the Library of Congress’ buildings that was not previously included.
110 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Collectible Heritage Assets

The AOC is the steward of collectible heritage assets. In general, 

collectible heritage assets are added or withdrawn through 

congressional action. Living botanical assets are added through 

congressional action or donation, and withdrawn due to plants 

dying or being composted/discarded due to disease or change in 

institutional need. Collectible heritage assets include:

Artwork: The AOC cares for artwork that is part of the Capitol 

campus. These include fine art, decorative art, architectural fine art 

and architectural decorative art.

Architectural Features: The Capitol campus is graced with many 

unique architectural features. These include outdoor sculptures, 

monuments and landscape features and fixtures.

Reference and Library Materials: The AOC’s collections include 

art and reference files, art and reference library materials and 

archival records (both traditional and electronic). The traditional 

archival records include architectural and engineering drawings, 

manuscripts, paper records, small architectural models, photographs 

and conservation reports. The electronic archival records are 

heritage assets retained on electronic storage media including, but 

not limited to, architectural and engineering drawings and textual 

records.

Living Botanical Assets: The AOC accounts for the living botanical 

assets in the USBG collection. These include a variety of plants for 

exhibition, study and exchange with other institutions. 

An inventory of AOC’s collectible heritage assets as of September 30, 

2021, and 2020 follows:

DESCRIPTION 2020 ACQUIRED WITHDRAWN OTHER 

ADJUSTMENTS 2021 CONDITION

Artwork 1,953 55 (2) — 2,006 Poor to Excellent

Architectural Features 202 — — — 202 Fair to Excellent

Reference and Library Materials:

Art and Reference Files (Drawers) 108 — — — 108 Good

Art and Reference Library Materials (Volumes) 1,219 21 — — 1,240 Good

Other Traditional Archival Records 552,049 14,047 — — 566,096 Fair to Excellent

Electronic Archival Records (Megabytes (MB)) 12,101.38 5,476.32 — — 17,577.70 N/A

Living Botanical Assets (Accessions) 9,923 565 (737) (139)* 9,612 N/A

* The ending inventory of living botanical assets was adjusted downward to remove duplicate accessions discovered during an inventory check and database review for FY 2021.

NOTE 10:

ADVANCES AND PREPAYMENTS

Advances and Prepayments consist of the unliquidated balance 

on advances and prepayments to and from other federal 

agencies for work to be performed under interagency and 

reimbursable agreements. 

Dollars in Thousands

ASSETS 2021 2020

Intragovernmental

Advances to Others and 

Prepayments $ 2,902 $ 214

Total Intragovernmental $ 2,902 $ 214 

Total $ 2,902 $ 214

Dollars in Thousands

LIABILITIES 2021 2020

Intragovernmental

Advances from Others $ 26,521 $ 44,327

Total Intragovernmental $ 26,521 $ 44,327

Total $ 26,521 $ 44,327

The increase in Advances to Others and Prepayments is attributed 

to additional advance payments to federal trading partners for the 

Power Plant Utility Studies and Energy project, the Cannon House 

Office Building renewal project and the Rayburn House Office Building Garage Interior Rehabilitation project.

The decrease in Advances from Others is mainly due to the 

liquidation of advances received from other federal agencies as 

work was completed on various reimbursable construction projects 

mainly for the Thurgood Marshall Building.

NOTE 11:

LIAB I LI T I E S N OT COV E R E D BY 

BUDGETARY RESOURCES

The Balance Sheet includes some liabilities not covered by current 

budgetary resources. Such liabilities require future congressional 

action whereas liabilities covered by budgetary resources reflect 

prior congressional action. Regardless of when the congressional 

action occurs, when the liabilities are liquidated, Treasury will 

finance the liquidation in the same way that it finances all 

other disbursements, which is to borrow from the public if the 

government has a budget deficit (and to use current receipts if 

the government has a surplus). The AOC’s liabilities that do not 

require the use of budgetary resources are undeposited CVC Gift 

Shops sales and miscellaneous receipts that are to be forwarded 

to Treasury. 

The amount reported as “Other Liabilities” in the following table 

includes the financed portion of the cogeneration facility. While this 

amount is currently not covered by budgetary resources, the annual 
Financial Information | SECTION 03 111

payment of principal and interest on the liability will be made from annual appropriations to the Capitol Power Plant (see Notes 1, 14 and 16). 

The Capital Lease Liability reported in the following table includes the principal due in future years only.

Workers’ Compensation is reported as required by FECA. It includes long-term, actuarially-calculated unfunded liability (Actuarial Unfunded 

Worker’s Compensation) and short term unfunded payable (Benefit Program Contributions Payable). The actuarial workers’ compensation 

liability was calculated using a formula provided by the DOL. Estimated future costs have been actuarially determined and they are regarded as 

a liability to the public because neither the costs nor reimbursement have been recognized by DOL. The current (short term) portion of the FECA 

liability represents an annual accrued liability for billed costs and is reflected in the Accounts Payable line of the balance sheet.

Unfunded accrued annual leave represents the value of employees’ earned leave that they are entitled to upon separation and that will be 

funded by future years’ budgetary resources.

Liabilities covered and not covered by budgetary resources as of September 30, 2021, and 2020, are as follows:

Dollars in Thousands

LIABILITIES 2021 2020

Intragovernmental

Benefit Program Contributions

Payable $ 7,790 $ 8,720

Total Intragovernmental $ 7,790 $ 8,720

Federal Debt and Interest Payable (Note 12) $ 45,610 $ 58,229

Federal Employee and Veterans Benefits Payable:

Unfunded Accrued Annual Leave 19,296 18,611

Actuarial Unfunded Worker’s 

Compensation 49,322 51,668

Environmental and Disposal Liabilities (Note 13) 179,022 79,062 

Other:

Capital Lease Liability (Note 15) 3,461 4,207

Other Liabilities Without

Related Budget Obligation (Note 14) 47,907 49,307

Total Liabilities Not Covered by Budgetary Resources $ 352,408 $ 269,804

Total Liabilities Covered by Budgetary Resources 99,763 133,925

Total Liabilities Not Requiring Budgetary Resources (Note 14) 7 2

Total Liabilities $ 452,178 $ 403,731

NOTE 12:

FE D E R AL D E B T AN D I N T E R E S T PAYAB LE 

The AOC is responsible for paying 30-year Serial Zero Coupon Certificates of Participation that were issued in 1989 for financing the construction 

of the Thurgood Marshall Building. The certificates were issued at $125.4 million with a maturity value of $525.5 million and are amortized using 

the effective interest rate of 9 percent (corresponding to the discount). Interest payable is accrued for the coupon certificates as well as the 

financed portion of the cogeneration facility. The presentation of this footnote has been changed consistent with OMB Circular A-136.

The balance of federal debt and interest payable, as of September 30, 2021, and 2020, is as follows:

Dollars in Thousands

2020 2021

FEDERAL DEBT AND INTEREST PAYABLE, BY TYPE BEGINNING BALANCE

BORROWING/ 

(REPAYMENTS), NET ENDING BALANCE

BORROWING/ 

(REPAYMENTS), NET ENDING BALANCE

Securities $ 86,150 $ (17,230) $ 68,920 $ (17,230) $ 51,690 

Interest Payable 810 276 1,086 (108) 978 

Discount on Securities (400,123) — (400,123) — (400,123)

Less: Amortization of Discount on Securities 382,602 5,744 388,346 4,719 393,065 

Total $ 69,439 $ (11,210) $ 58,229 $ (12,619) $ 45,610 

Various judiciary offices and personnel occupy the Marshall Building under an Interagency Agreement between AOC and the Administrative 

Office of the U.S. Courts. Base rent will not change over the initial 30 years and is set at $17.2 million annually, which is the amount necessary to 

retire the debt in August, 2024. This certificate is not subject to prepayment or acceleration under any circumstance, pursuant to the language in 

the certificate agreement. 
112 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

NOTE 13:

E N V I R O N M E N TAL AN D D I SP OSAL 

LIABILITIES

The AOC also has responsibility to remediate certain sites with 

environmental contamination hazards related to ongoing operations. 

Environmental Cleanup Cost Liabilities Related to Asbestos Cleanup

AOC is responsible for managing and/or abating friable and nonfriable asbestos-containing materials (ACM) in all Capitol complex 

buildings owned by the federal government. Pursuant to the 

FASAB Technical Bulletin 2006-1, Recognition and Measurement 

of Asbestos-related Cleanup Costs, AOC recognizes a liability for 

cleanup costs that are both probable and reasonably estimable. 

This liability is founded on “per square and linear foot” cost indexes 

(based on current industry guidance for asbestos cleanup projects) 

which are then applied to recorded quantities of ACM to derive a 

total estimated liability.

Actual cleanup costs may differ from the recorded estimate due 

to additional cost factors that are, at this time, not reasonably 

estimable. For example, there may be an additional difficulty factor 

associated with AOC projects due to the unique working conditions 

on Capitol Hill. Additionally, containment (room or area) for asbestos 

abatement is a required work element that is not reasonably 

estimable at this time. Due to the uniqueness of individual project 

requirements, there is not enough information to determine the 

type of, and how much containment would be required. The AOC 

has determined that the reported estimated liability (see table 

below) is the base cost without containment as containment 

requirements differ from project to project.

The AOC’s accrued and potential liabilities for environmental 

cleanup costs, as of September 30, 2021, and 2020, are shown in the 

table below. The significant increase in the liability in the current 

year is attributed to several factors 1) approximately 9 percent in 

pandemic-induced cost increase as reflected in the RSMeans (cost 

estimating guidance) between FY 2020 and FY 2021 and 2) FY 2021 

changes in AOC Division 1 Construction Specification requirements 

to include additional labor categories for construction Safety 

and Quality Control personnel. Additionally, AOC’s normal cost 

estimating requirements include a rate escalation due to the timing 

of the RSMeans cost book. In the past, this escalation was typically 

2 to 3 percent annually. However, continued pandemic-related 

inflation on construction materials, labor and supply chain costs as 

reported by industry reports (Engineering News Record) increased 

industry prices between 2020 and 2021. As a result, the escalation 

rate for the current fiscal year is 10 percent.

Fort George G. Meade, Maryland

In addition to the requirements of Technical Bulletin 2006-1, the 

AOC is subject to various federal, state, and local environmental 

compliance and restoration laws. Applicable laws include the Clean 

Air Act, the Clean Water Act, the Solid Waste Disposal Act, the 

Safe Drinking Water Act, and the Comprehensive Environmental 

Response, Compensation, and Liability Act (CERCLA).

Management’s review concluded that AOC is not responsible for the 

clean-up and remediation of previous environmental contamination 

on the approximately 100 acres of land at Fort George G. Meade, 

Maryland, which the U.S. Army transferred to AOC. The Army 

is responsible for the environmental clean-up of any previous 

contamination under CERCLA. The AOC understands that the Army 

is actively monitoring existing contamination on the entire site, 

including the land transferred to AOC, and is pursuing appropriate 

remediation of this contamination.

The AOC accrued an environmental liability of $179 million. The 

estimated liability range is $179 million on the lower end to $348 

million on the upper end, which includes markups assuming work is 

fully contracted out (See Note 16).

The AOC’s accrued and potential liabilities for environmental 

cleanup costs, as of September 30, 2021, and 2020, are shown in the 

following table.

Dollars in Thousands

ENVIRONMENTAL AND DISPOSAL 

CLEANUP COST 2021 2020

Accrued Liabilities (Note 16) $ 179,022 $ 79,062 

NOTE 14:

OTHER LIABILITIES

As of September 30, 2021, and 2020, the intragovernmental 

liabilities consist of miscellaneous receipts (Liability for Non-Entity 

Assets Not Reported on the Statement of Custodial Activity). 

Miscellaneous receipts include non-entity receipts that are to 

be forwarded to Treasury (see Note 2). Liabilities with the Public 

consist of contract holdbacks, accrued accounts payable (Other 

Liabilities With Related Budgetary Obligations), Accrued Funded 

Payroll, outstanding capital lease principal, and long-term debt 

from the cogeneration financing (Other Liabilities Without Related 

Budgetary Obligations). 

Other liabilities, as of September 30, 2021, and 2020, are as follows:

Dollars in Thousands

OTHER LIABILITES 2021 2020

Intragovernmental:

Liability for Non-Entity Assets Not 

Reported on the Statement of 

Custodial Activity $ 7 $ 2

Total Intragovernmental $ 7 $ 2 

With the Public:

Contract Holdbacks $ 17,023 $ 27,254 

Other Liabilities with Related 

Budgetary Obligations 39,061 44,810

Accrued Funded Payroll and Leave 15,334 14,001

Capital Lease Liability (Current, Not 

Covered by Budgetary Resources) 791 746

Capital Lease Liability (Non-Current, Not 

Covered by Budgetary Resources) 2,670 3,461

Other Liabilities without Related 

Budgetary Obligations (Current) 1,627 1,399

Other Liabilities without Related 

Budgetary Obligations (Non-Current) 46,280 47,908

Total With the Public $ 122,786 $ 139,579 

Total $ 122,793 $ 139,581 
Financial Information | SECTION 03 113

The change in the Contract Holdbacks is a reflection of the contract 

retainage release as work was satisfactorily completed on various 

construction projects, with the largest being the Cannon House 

Office Building Renewal Phase 2.

The change in Other Liabilities With Related Budgetary Obligations 

is primarily due to a reduction in the accrued accounts payable 

as work was completed and invoices that were previously due 

to contactors were paid on ongoing large construction projects, 

with the largest being the Cannon House Office Building Renewal 

Phase 2.

NOTE 15:

LEASES

As of September 30, 2021, AOC is committed to various noncancelable leases primarily covering administrative office space 

and storage facilities, motor vehicles and office equipment. Many of 

these leases contain escalation clauses tied to inflationary and tax 

increases, and renewal options.

Capital Leases

The balance of Assets under Capital Lease, as of September 30, 2021, 

and 2020, is as follows:

Dollars in Thousands

SUMMARY OF ASSETS UNDER 

CAPITAL LEASE 2021 2020

Land and Buildings $ 40,143 $ 40,143 

Accumulated Amortization (37,647) (37,036)

Total Capital Leases $ 2,496 $ 3,107

Capital leases have initial or remaining non-cancelable lease terms 

in excess of one year. The capital lease liability is amortized over the 

term of the lease. At the end of the current reporting period, AOC 

had one non-federal capital lease for the Senate Sergeant at Arms 

Warehouse building in Landover, MD. This lease is active through 

FY 2025.

As of September 30, 2021, and 2020, the present value of the future 

minimum lease payments is as follows:

At September 30, 2021, Dollars in Thousands

FISCAL YEAR TOTAL

2022 $ 938

2023 947

2024 956

2025 966

2026 —

Thereafter —

Total Minimum Future Lease Payment $ 3,807

Less: Imputed Interest (346)

Net Capital Lease Liability $ 3,461

Capital Lease Liabilities Covered by Budgetary Resource $ —

Capital Lease Liabilities not Covered by 

Budgetary Resource $ 3,461

At September 30, 2020, Dollars in Thousands

FISCAL YEAR TOTAL

2021 $ 928

2022 938 

2023 947

2024 956

2025 966 

Thereafter —

Total Minimum Future Lease Payment $ 4,735

Less: Imputed Interest (528)

Total Capital Lease Liability $ 4,207

Capital Lease Liabilities Covered by Budgetary Resource $ —

Capital Lease Liabilities not Covered by 

Budgetary Resource $ 4,207

Operating Leases

The AOC has entered into various operating lease agreements for 

equipment, vehicles and commercial space. These lease agreements 

are held with various entities including the General Services 

Administration (GSA), Government Publishing Office (GPO) and 

other commercial vendors and expire on various dates between 

FY 2022 and FY 2026. 

As of September 30, 2021, the aggregate of future payments due 

under non-cancelable federal and non-federal operating leases and 

occupancy agreements are as follows:

Dollars in Thousands 

REAL PROPERTY PERSONAL PROPERTY

FISCAL YEAR FEDERAL

NONFEDERALNONFEDERAL TOTAL

2022 $ 4,608 $ 10,963 $ 3 $ 15,574

2023 — 9,794 — 9,794

2024 — 6,345 — 6,345

2025 — 3,633 — 3,633

2026 — 1,827 — 1,827

Thereafter — — — —

Total Future 

Leases $ 4,608 $ 32,562 $ 3 $ 37,173
114 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

NOTE 16:

COMMITMENTS AND CONTINGENCIES

The AOC is party to various administrative proceedings, legal actions 

and tort claims which may result in settlements or decisions adverse 

to the federal government. Additionally, AOC has contractual 

agreements with various energy service providers which may 

require future financial obligations.

The AOC’s accrued and potential liabilities for contingent and 

environmental cleanup costs, as of September 30, 2021, and 2020, 

are shown in the following table. See Note 13 for an explanation of 

the increase in the Environmental Cleanup Cost Liabilities.

At September 30, 2021, Dollars in Thousands

CONTINGENT LOSS

ACCRUED 

LIABILITIES

ESTIMATED RANGE OF LOSS

LOWER END UPPER END

Legal Contingencies:

Reasonably Possible $ 0 $ 15 $ 3,500

Environmental Cleanup 

Cost Liabilities:

Probable (Note 13) $ 179,022 $ 179,022 $ 348,501

$ 179,022 $ 179,037 $ 352,001

At September 30, 2020, Dollars in Thousands

CONTINGENT LOSS

ACCRUED 

LIABILITIES

ESTIMATED RANGE OF LOSS

LOWER END UPPER END

Legal Contingencies: 

Reasonably Possible $ 0 $ 0 $ 2,800

Environmental Cleanup Cost 

Liabilities:

Probable (Note 13) $ 79,062 $ 79,062 $ 79,062

$ 79,062 $ 79,062 $ 81,862

Legal Liabilities

General contingent liabilities consist of claims filed against AOC 

which are awaiting adjudication. These liabilities typically relate to 

contracts, labor and equal employment opportunity issues, and 

personal and property damage. 

For the purpose of estimating contingent liabilities for the financial 

statements, AOC conducted a review of existing claims for which 

the likelihood of loss to AOC is probable. Additionally, management 

and AOC’s General Counsel evaluated the materiality of cases 

determined to have a reasonably possible chance of an adverse 

outcome. Liabilities are recognized herein for those cases that 

are determined to meet management’s materiality threshold (see 

Note 1.N). No amounts are accrued in the financial records for claims 

where the estimated amount of potential loss is less than $100 

thousand or where the likelihood of an unfavorable outcome is less 

than probable. During the current and prior year reporting period 

there were no reported cases that met this criteria. 

Additionally, management and AOC’s General Counsel evaluated 

the materiality of cases determined to have a reasonably possible 

(less than probable but more than remote) chance of an adverse 

outcome. The ultimate outcomes in these matters cannot be 

predicted at this time; however, the lower and upper level estimate 

of these cases are shown in the table above. Sufficient information is 

not currently available to determine if the ultimate resolution of the 

proceedings, actions and claims will materially affect AOC’s financial 

position or results of operations. Based on the less than probable 

nature of these claims, an accounting entry for the estimate was not 

posted and there is no impact on the financial statements. 

Future Funded Energy Contracts 

The use of energy contracts by federal agencies was permitted 

by the Energy Policy Act of 1992 and, after a renewal in 2005, 

was permanently reauthorized by the Energy Independence and 

Security Act of 2007. These contracts provide federal agencies with 

the ability to implement energy and water savings upgrades at little 

to no upfront cost to the government. The contracts take the form 

of fixed-price, performance-based arrangements. An energy service 

company finances the cost of implementing the energy savings 

infrastructure and, in return, receives a contractually determined 

share of the cost savings over time. As part of the agreement, the 

energy company guarantees that the improvements will generate 

sufficient energy savings to pay for the projects over the life of the 

arrangement. Once the contract period ends, the agency retains all 

subsequent cost savings. 

With the approval of Congress, the AOC has partnered with private 

energy service companies for a UESC to help finance the designbuild of its cogeneration system at the Capitol Power Plant and 

implement separate ESPCs in the Capitol Building, House Office 

Buildings, Senate Office Buildings and Library Buildings and Grounds 

jurisdictions. The ESPCs have helped the AOC implement energy 

savings measures by:

 converting from pneumatic to direct digital heating, ventilation 

and air conditioning (HVAC) control and upgrading building 

automation systems

 retrofitting existing light fixtures with high-efficiency lamps, 

ballasts, controls and reflectors; installing LED lighting and 

expanding the lighting control rooms

 upgrading transformers to high-efficiency models

 adding removable insulation covers to reduce heat loss from 

steam valves

 replacing failing and defective steam traps and valves to 

eliminate steam loss and waste

 installing new motion/occupancy sensors in areas with 

infrequent and low occupancy levels

 installing water conservation and fixture upgrades

As of September 30, 2021, the AOC has four active ESPCs and one 

active UESC arrangement. Of these contracts, only one is still being 

implemented — the ESPC for the Library Buildings and Grounds 

jurisdiction. All construction related to ESPCs in the Capitol Building, 

House Office Buildings and Senate Office Buildings jurisdictions, and 

the UESC in the Capitol Power Plant, is complete and these contracts 

have transitioned to their performance phase. The scheduled final 

payments for the contracts range from FY 2022 to FY 2039. The 

calculation of the period of performance is largely dependent on the 

amount of the predicted annual costs savings and the overall value 

of the projects.
Financial Information | SECTION 03 115

The AOC is liable for the full funding of its cogeneration facility, 

as follows:

Dollars in Thousands

PROJECT COST TOTAL

Construction Costs

Appropriations $ 20,000

Long-Term Financing 67,285 

Total Construction Costs $ 87,285

Interest On Financing 25,432

Total Costs Over the Life of the Asset $ 112,717

The AOC will pay off the total amount of government contract 

payments (including interest) in 20 annual installments ranging 

from $3 million to $5 million each year (and subject to prepayment 

penalties). Total payments over the term, including interest and 

prepayments, will be approximately $93 million. The AOC expects 

that these payments will be completed by May 2037 from available 

annual appropriations to the Capitol Power Plant.

NOTE 17:

IMPUTED FINANCING

Consistent with SFFAS No. 4, AOC incorporates the full cost of goods 

and services received from other federal entities in its financial 

statements. Certain costs of the providing entity may not be fully 

reimbursed by AOC. The unreimbursed portion of these costs is 

recognized as imputed costs and are included in the operating 

amounts reported on the SNC. The imputed costs are offset by 

imputed financing sources and are reported on the face of the 

Statement of Changes in Net Position (SCNP). 

Such imputed costs and financing sources include campus-wide 

capital infrastructure projects performed by another federal agency 

and Treasury Judgment Fund or Office of Congressional Workplace 

Rights (OCWR) Settlement and Award Fund payments, as applicable. 

The AOC has activities with OPM that also require imputed costs 

and financing sources to be recognized. The OPM administers three 

earned benefit programs for civilian federal employees: the Federal 

Employees Health Benefits (FEHB) Program, the Federal Employee 

Group Life Insurance (FEGLI) Program, and the CSRS, CSRS Offset, 

and FERS Retirement Programs. The AOC uses the applicable cost 

factors provided by OPM for current period expense reporting. The 

imputed costs and financing sources consist of the benefits for AOC 

employees that are paid on its behalf by OPM.

CSRS: According to PL 99-335, all employees hired prior to January 

1, 1987, could elect CSRS or CSRS Offset. The CSRS provides a 

basic annuity and Medicare coverage. The CSRS fund covers 

most employees hired prior to January 1, 1984. The AOC and the 

employee contribute to Medicare at the rate prescribed by law. 

The AOC does not match TSP contributions for employees who 

participate in the CSRS retirement program.

CSRS Offset: CSRS Offset generally covers those employees who 

have had a break in their CSRS service of more than one and less 

than five years by the end of 1986. The AOC and the employee 

contribute to Social Security and Medicare at the rates prescribed by 

law. The AOC does not match TSP contributions for employees who 

participate in the CSRS Offset retirement program.

FERS: According to PL 99-335, employees with less than five years 

of creditable civilian service, as of the effective date in 1986, were 

automatically converted to FERS. In addition, during certain periods 

in 1987, 1988 and 1998, employees hired before January 1, 1984, 

could choose to participate in FERS. This system consists of Social 

Security, a basic annuity plan and the TSP.

The AOC and the employee contribute to Social Security and 

Medicare at rates prescribed by law. In addition, AOC is required to 

contribute to the TSP a minimum of 1 percent per year of the basic 

pay of employees covered by this system. The AOC also matches a 

voluntary employee contribution up to 3 percent dollar-for-dollar, 

and another 2 percent is matched 50 cents on the dollar.

Imputed Financing for the years ended September 30, 2021, and 

2020, is as follows:

Dollars in Thousands

IMPUTED FINANCING, BY TYPE 2021 2020

Pensions

CSRS $ 422 $ 571

CSRS Offset 480 489

FERS 52,106 46,199

Less: Contributions (47,303) (45,042)

Subtotal: Employee Pensions $ 5,705 $ 2,217

Health Insurance $ 16,818 $ 15,722

Life Insurance 40 40

Subtotal: All Employee Benefits $ 22,563 $ 17,979

Other Agency — Campus Infrastructure $ 3,940 $ 3,315 

Department of Justice — 

Treasury Judgement Fund 19 —

OCWR-Settlement and Awards Fund 30 681

Reversal of Imputed OCWR payments from 

prior year (70) —

Total $ 26,482 $ 21,975 

In FY 2021, the change in imputed financing costs for employee 

benefits is due to a variety of factors. These include an increase in 

the FY 2021 OPM cost factors for pensions and FEHB and higher 

FERS contributions. Further, enrollment figures for both FEHB and 

FEGLI have historically fluctuated. 
116 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

NOTE 18:

N E T COS T O F O PE R AT I O NS R E L AT E D 

TO PAYROLL

Expenses for salaries and related benefits for the years ended 

September 30, 2021, and 2020, are shown in the following table. 

These amounts were approximately 40 and 44 percent of the annual 

gross cost of operations for each respective year. This includes 

actual payroll and benefit expenses as well as other accrued 

expenses. Benefit expenses represent FECA (current year payment), 

Unemployment Compensation for Federal Employees (UCFE) and 

imputed costs paid by OPM. Other Accrued Expenses consist of 

payroll and benefit related accruals. Those costs do not include the 

unfunded accrued annual leave and long-term actuarial FECA. 

Net Cost of Operations Related to Payroll for the years ended 

September 30, 2021, and 2020, is as follows:

Dollars in Thousands

EXPENSES FOR PAYROLL AND 

RELATED BENEFITS 2021 2020

Payroll Expense $ 308,505 $ 291,655

Benefit Expenses

FECA and UCFE 4,263 4,202 

Imputed Costs (see Note 17) 22,563 17,979 

Other Accrued Expenses

Current Year Accrued Expenses 18,529 17,658 

Reversal of Prior Year Accrued Expenses (18,127) (15,078)

Total Expenses for Payroll and 

Related Benefits $ 335,733 $ 316,416 

Total Gross Cost $ 832,586 $ 714,005

The change in payroll related expense is primarily due to an 

increase in full time employees from FY 2020 to FY 2021 net of a 

reduction of in-person temporary operations staff for the CVC not 

retained during the COVID-19 pandemic. The increase is also due 

to additional payroll related expenses associated with the 117th 

Congressional Transition, election year moves and various Library of 

Congress projects.

NOTE 19:

R ECO N CI LIAT I O N O F SCN P 

APPROPRIATIONS TO SBR

Amounts reported as Appropriations Received on the SCNP consist 

of funds congressionally appropriated to the agency within the 

current fiscal year. Amounts reported as Appropriations on the SBR 

consist of appropriations received and other new budget authority. 

The reconciliation for the years ended September 30, 2021, and 2020 

is as follows:

Dollars in Thousands 

RECONCILIATION OF SCNP 

APPROPRIATIONS TO SBR 2021 2020

SCNP

Appropriations Received $ 1,007,560 $ 728,504

Total SCNP Appropriations $ 1,007,560 $ 728,504

SBR

Trust or Special Fund Receipts $ 10 $ 27

Total SBR Appropriations $ 1,007,570 $ 728,531

The increase in appropriations received is primarily related to the 

$300 million emergency supplemental appropriations received 

to respond to the events at the U.S. Capitol on January 6, 2021. 

The reduction in Trust or Special Fund Receipts is due to reduced 

collections from commercial photography permits issued for Union 

Square as a result of COVID-19 restrictions. 

NOTE 20:

S TAT E M E N T O F BU D G E TARY 

R E SO U RCE S— U N O B LI G AT E D BAL AN CE 

BROUGHT FORWARD, OCTOBER 1

There were no material adjustments during the current year to 

correct the unobligated balance brought forward, October 1. 

Components of the amount reported as Unobligated Balance from 

Prior Year Budget Authority, Net are disclosed in the following table:

Dollars in Thousands

NET ADJUSTMENTS TO UNOBLIGATED 

BALANCE BROUGHT FORWARD, 

OCTOBER 1 2021 2020

Unobligated Balance Brought Forward, 

October 1 $ 472,307 $ 606,617

Net Adjustments

Cancelled Authority (2,932) (3,424)

Downward Adjustment PY Unpaid 

Unexpended Obligations 18,976 18,440 

Downward Adjustment PY Unpaid 

Expended Authority 14,424 11,047 

Downward Adjustment PY Paid Expended 

Authority (Refunds Collected) 5,114 9,934

Total Net Adjustments $ 35,582 $ 35,997

Unobligated Balance From Prior Year 

Budget Authority, Net $ 507,889 $ 642,614
Financial Information | SECTION 03 117

NOTE 21:

U N D E LI V E R E D O R D E R S AT T H E E N D O F 

THE PERIOD

In accordance with OMB Circular A-136, Financial Reporting 

Requirements, the amount of budgetary resources obligated but 

not delivered must be disclosed separately. Amounts obligated 

comprise contracts with vendors for acquisitions of goods and 

services including contractual support, construction projects and 

CVC inventory purchases. 

Undelivered Orders for the years ended September 30, 2021, and 

2020, are as follows:

Dollars in Thousands

UNDELIVERED ORDERS 2021 2020

Paid

Federal $ 2,902 $ 214

Total Paid $ 2,902 $ 214

Unpaid

Federal $ 19,400 $ 18,162

Non-Federal 337,765 439,627

Total Unpaid $ 357,165 $ 457,789

See Note 10, Advances and Prepayments, for the explanation of the 

increase in the Paid Undelivered Orders balance. The decrease in 

the Non-Federal Unpaid Undelivered Orders balance is due to the 

payment of prior year contract obligations related to various capital 

improvement projects such as the Cannon House Office Building 

renewal as work progressed or was completed. 

NOTE 22:

E XPL ANAT I O N O F D I FFE R E N CE S 

B E T W E E N T H E CO M B I N E D S TAT E M E N T 

O F BU D G E TARY R E SO U RCE S AN D T H E 

BUDGET OF THE U.S. GOVERNMENT

The FY 2022 Budget of the U.S. Government (President’s Budget) 

presenting the actual amounts for the year ended September 30, 

2020, was published in May 2021. The FY 2022 President’s Budget is 

reconciled to AOC’s September 2020 SBR to identify differences. The 

AOC’s budget can be found on the OMB website (www.whitehouse.

gov/omb/budget/) under Legislative branch.

The President’s Budget reconciliation is as follows:

Dollars in Thousands

RECONCILIATION 

OF SBR TO BUDGET 

FY 2020

BUDGETARY 

RESOURCES

OBLIGATIONS 

INCURRED NET OUTLAYS

Combined Statement 

of Budgetary 

Resources (SBR)

$ 1,436,796 $ 964,489 $ 797,098

Items on SBR— 

Not on Budget:

Expired Funds (55,556) — —

Other (23,240) 2,511 902

Budget of the U.S. 

Government $1,358,000 $ 967,000 $ 798,000

The “Other” difference between the FY 2020 comparative amounts 

presented on the SBR and the actual amounts published in the 

FY 2022 President’s Budget are due to amounts that are presented 

on the SBR but not included in the President’s Budget (e.g., the 

Supreme Court of the United States and Senate Restaurant) as well 

as rounding differences and other adjustments.

NOTE 23:

R ECO N CI LIAT I O N O F N E T COS T TO N E T 

OUTLAYS

Per SFFAS No. 7, FASAB “requires a reconciliation of proprietary 

and budgetary information in a way that helps users relate the 

two.” The objective is to provide an explanation for the differences 

between budgetary and financial (proprietary) accounting and is 

accomplished by reconciling budgetary outlays with related net cost 

of operations. Statements of Federal Financial Accounting Concepts 

No. 2, Entity and Display, as amended by SFFAS No. 53, Budget and 

Accrual Reconciliation, provides concepts for reconciling budgetary 

and financial accounting. The AOC has adopted the requirement to 

present this reconciliation in the format prescribed by SFFAS No. 53. 

Budgetary accounting information is used for planning and control 

purposes and relates to both the receipt and use of cash, as well 

as reporting the federal deficit. Financial accounting information 

is intended to provide a picture of the government’s financial 

operations and financial position on an accrual basis. The accrual 

basis includes information about costs arising from the consumption 

of assets and the incurrence of liabilities. The reconciliation of net 

outlays, presented on a budgetary basis, and the net cost, presented 

on an accrual basis, provides an explanation of the relationship 
118 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

At September 30, 2021, Dollars in Thousands

RECONCILIATION OF NET OPERATING COST AND NET BUDGETARY OUTLAYS INTRAGOVERNMENTAL WITH THE PUBLIC TOTAL

Net Operating Cost $ (23,745) $ 779,433 $ 755,688

Components of Net Operating Cost Not Part of the Budgetary Outlays

Property, Plant and Equipment Depreciation Expense — (138,501) (138,501)

Property, Plant and Equipment Disposals and Reevaluation — (6,105) (6,105)

Cost of Goods Sold — (81) (81)

Gains/Losses on All Other Investments — 2 2 

Increase/(Decrease) in Assets:

Accounts Receivable, Net 34 (78) (44)

Securities and Investments (46) — (46)

Other Assets — 2,688 2,688 

(Increase)/Decrease in Liabilities:

Accounts Payable (9) 20,774 20,765 

Environmental and Disposal Liabilities — (99,960) (99,960)

Federal Employee and Veteran Benefits Payable — 1,661 1,661 

Federal Debt and Interest Payable — 19 19 

Other Liabilities — 16,471 16,471 

Financing Sources:

Imputed Cost (26,482) — (26,482)

Total	Components	of	Net	Operating	Cost	Not	Part	of	the	Budget	Outlays $ (26,503) $ (203,110) $ (229,613)

Components of the Budget Outlays That Are Not Part of Net Operating Cost 

Acquisition of Capital Assets — 242,902 242,902 

Acquisition of Inventory — 246 246 

Financing Sources:

Transfers Out/(In) Without Reimbursements — (2,847) (2,847)

Total Components of the Budgetary Outlays That Are Not Part of Net Operating Cost $ — $ 240,301 $ 240,301 

Miscellaneous Items

Custodial/Non-exchange Revenue — (2) (2)

Appropriated Receipts for Trust/Special Funds — 10 10 

Total Other Reconciling Items $ — $ 8 $ 8 

Net Outlays (Calculated Total) $ (50,248) $ 816,632 $ 766,384 

Budgetary Agency Outlays, Net (SBR 4210)

Budgetary Agency Outlays, Net $ 766,384

between budgetary and financial accounting information. The reconciliation serves not only to identify costs paid for in the past and those 

that will be paid in the future, but also to assure integrity between budgetary and financial accounting. During FY 2021, there was a change in 

presentation for this footnote. The FY 2020 comparative chart has been revised to conform with the new presentation. 

The reconciliation for the years ended September 30, 2021 and 2020 are as follows:
Financial Information | SECTION 03 119

Components of Net Operating Cost Not a Part of the Budgetary Outlays reflects the budgetary resources used to finance AOC’s activities, but 

not paid. The Net Operating Cost is reported net of any earned revenue and other financing sources (e.g., donated property or imputed costs). 

Components of the Budgetary Outlays Not Part of the Net Operating Cost includes resources used to finance the activities of the entity to 

account for items that were included in budgetary outlays but were not part of the SNC. This item includes budgetary outlays recognized in 

the current period that do not affect the net cost of operations (e.g., an acquisition of assets reflected in net obligations but not in SNC). The 

Reconciliation of Net Cost to Net Outlays explains the relationship between the entity’s net outlays on a budgetary basis and the net cost of 

operations during the reporting period.

At September 30, 2020, Dollars in Thousands

RECONCILIATION OF NET OPERATING COST AND NET BUDGETARY OUTLAYS INTRAGOVERNMENTAL WITH THE PUBLIC TOTAL

Net Operating Cost $ 35,303 $ 591,949 $ 627,252 

Components of Net Operating Cost Not Part of the Budgetary Outlays

Property, Plant and Equipment Depreciation Expense — (132,466) (132,466)

Property, Plant and Equipment Disposals and Reevaluation — (75) (75)

Cost of Goods Sold — (717) (717)

Gains/Losses on All Other Investments — (19) (19)

Increase/(Decrease) in Assets:

Accounts Receivable, Net (1,252) (495) (1,747)

Securities and Investments 47 — 47 

Other Assets — (654) (654)

(Increase)/Decrease in Liabilities:

Accounts Payable (104) (3,704) (3,808)

Environmental and Disposal Liabilities — 182 182 

Federal Employee and Veteran Benefits Payable — (5,579) (5,579)

Federal Debt and Interest Payable — 285 285 

Other Liabilities — 3,051 3,051 

Financing Sources:

Imputed Cost (21,975) — (21,975)

Total	Components	of	Net	Operating	Cost	Not	Part	of	the	Budget	Outlays $ (23,284) $ (140,191) $ (163,475)

Components of the Budget Outlays That Are Not Part of Net Operating Cost 

Acquisition of Capital Assets — 332,216 332,216 

Acquisition of Inventory — 1,297 1,297 

Financing Sources:

Transfers Out/(In) Without Reimbursements — (123) (123)

Total Components of the Budgetary Outlays That Are Not Part of Net Operating Cost $ — $ 333,390 $ 333,390 

Miscellaneous Items

Custodial/Non-exchange Revenue — (96) (96)

Appropriated Receipts for Trust/Special Funds — 27 27 

Total Other Reconciling Items $ — $ (69) $ (69)

Net Outlays (Calculated Total) $ 12,019 $ 785,079 $ 797,098 

Budgetary Agency Outlays, Net (SBR 4210)

Budgetary Agency Outlays, Net $ 797,098 
120 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

NOTE 24:

COVID -19 ACTIVIT Y

During FY 2020, AOC received supplemental appropriations totaling $25 million as part of the Coronavirus Aid, Relief, and Economic Security 

(CARES) Act. Supplemental CARES Act funding provided additional cleaning supplies and services, COVID-related overtime, temporary employee 

hires and authorized payments to AOC service contractors made in accordance with Section 19005(a) of the CARES Act. Additionally, and 

in accordance with AOC’s general transfer authority under 2 U.S.C. § 1862 and 31 U.S.C. § 1532, AOC received approval from the Senate 

Appropriations Committee to transfer up to $2 million from other appropriations to the CCO account (see Note 1.G). This transfer was requested 

to allow AOC to continue funding contractor reimbursements pursuant to Section 3610 of the CARES Act. Approximately $2.7 million of 

unobligated CARES Act funding was brought forward into FY 2021.

In addition in FY 2021, P.L. 117-31 provided approximately $22 million to AOC in order to cover necessary expenses to “prevent, prepare for, and 

respond to coronavirus.”

The following tables depict available funding and spending by program activity. COVID-related spending within the jurisdictions’ current 

appropriations as part of their operational expenses are separately presented herein. 

At September 30, 2021, Dollars in Thousands

2021

BUDGET AUTHORITY APPROPRIATED TRANSFERS TOTAL AUTHORITY

CARES Act $ 25,000 $ 2,000 $ 27,000 

Emergency Supplemental Appropriation 21,869 — 21,869 

Total Budget Authority $ 46,869 $ 2,000 $ 48,869 

CARES ACT SPENDING OBLIGATIONS EXPENDITURES TOTAL SPENDING

Supplies and Services $ 1,407 $ 16,203 $ 17,611 

Payroll — 3,759 3,759 

Contract Payments 182 4,789 4,971 

Projects — 658 658 

Total CARES Act Spending $ 1,589 $ 25,409 $ 26,999

CARES Act Funds Available $ 1

EMERGENCY SUPPLEMENTAL SPENDING OBLIGATIONS EXPENDITURES TOTAL SPENDING

Service Contracts $ 200 $ — $ 200

Other Contracts 2,237 — 2,237

Total Supplemental Spending $ 2,437 $ — $ 2,437

Emergency Supplemental Funds Available $ 19,432

JURISDICTION SPENDING FROM CURRENT APPROPRIATIONS

Additional Jurisdiction Spending for COVID-19 Related Costs $ 16,422

Total COVID-19 Spending $ 45,858
Financial Information | SECTION 03 121

At September 30, 2020, Dollars in Thousands

2020

BUDGET AUTHORITY APPROPRIATED TRANSFERS TOTAL AUTHORITY

CARES Act $ 25,000 $ 1,000 $ 26,000 

Emergency Supplemental Appropriation — — —

Total Budget Authority $ 25,000 $ 1,000 $ 26,000 

CARES ACT SPENDING OBLIGATIONS EXPENDITURES TOTAL SPENDING

Supplies and Services $ 3,187 $ 12,998 $ 16,185 

Payroll — 3,759 3,759 

Contract Payments 564 2,804 3,368 

Projects — — —

Total CARES Act Spending $ 3,751 $ 19,561 $ 23,312

CARES Act Funds Available $ 2,688

EMERGENCY SUPPLEMENTAL SPENDING OBLIGATIONS EXPENDITURES TOTAL SPENDING

Service Contracts $ — $ — $ —

Other Contracts — — —

Total Supplemental Spending $ — $ — $ —

Emergency Supplemental Funds Available $ —

JURISDICTION SPENDING FROM CURRENT APPROPRIATIONS

Additional Jurisdiction Spending for COVID-19 Related Costs $ 5,884

Total COVID-19 Spending $ 29,196

The CVC remains closed for public tours due to public health concerns associated with COVID-19 and their sales revenue decreased due to the 

closure of the Gift Shops. Additionally, there are currently no restaurant commissions due. Although the CVC Gift Shops are closed, e-commerce 

sales are ongoing effective the first quarter of FY 2021. The CVC’s earned revenues are expected to increase as on-line sales increase. The COVID19-related Gift Shops closures also caused some fluctuations in Investments and in Inventory and Related Property, Net as reported in Notes 5 

and 7, respectively.

Additional footnotes discussing COVID-related impacts are Note 3: Fund Balance with Treasury; Note 4: Cash and Other Monetary Assets; and 

Note 19: Reconciliation of SCNP Appropriations to SBR.
122 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Required Supplementary Information

A. Combining Schedule of Budgetary Resources

For the Years Ended September 30, 2021 and 2020 ($ in Thousands)

TOTAL 

CAPITAL 

CONSTRUCTION 

AND 

OPERATIONS 

 CAPITOL 

BUILDING 

 CAPITOL 

GROUNDS AND 

ARBORETUM 

For the Year Ending September 30, 2021:

Budgetary Resources

Unobligated Balances from Prior Year Budget Authority, Net (Note 20) $ 507,889 $ 19,126 $ 59,963 $ 16,381 

Appropriations (Note 19) 1,007,570 149,331 34,719 20,570 

Borrowing Authority 4,630 — — — 

Spending Authority From Offsetting Collections 41,790 767 463 — 

Total Budgetary Resources $ 1,561,879 $ 169,224 $ 95,145 $ 36,951 

Status of Budgetary Resources

New Obligations and Upward Adjustments (Total) $ 747,799 $ 142,206 $ 56,603 $ 17,837 

Unobligated Balance, End of Year:

Exempt from Apportionment, Unexpired Accounts 786,717 21,727 38,140 18,288 

Unexpired Unobligated Balance, End of Year 786,717 21,727 38,140 18,288 

Expired Unobligated Balance, End of Year (Note 3) 27,363 5,291 402 826 

Unobligated Balance, End of Year (Total) 814,080 27,018 38,542 19,114 

Total Budgetary Resources $ 1,561,879 $ 169,224 $ 95,145 $ 36,951 

Outlays, Net

Outlays, Net (Total) (Discretionary and Mandatory) 766,384 128,380 42,769 14,645 

Agency Outlays, Net (Note 23) $ 766,384 $ 128,380 $ 42,769 $ 14,645 

For the Year Ending September 30, 2020:

Budgetary Resources

Unobligated Balances from Prior Year Budget Authority, Net (Note 20) $ 642,614 $ 13,931 $ 33,413 $ 15,957 

Appropriations (Note 19) 728,531 146,000 68,878 15,051 

Borrowing Authority 5,662 — — — 

Spending Authority From Offsetting Collections 59,990 657 428 — 

Total Budgetary Resources $ 1,436,797 $ 160,588 $ 102,719 $ 31,008 

Status of Budgetary Resources

New Obligations and Upward Adjustments (Total) $ 964,489 $ 150,296 $ 44,659 $ 16,053 

Unobligated Balance, End of Year:

Exempt from Apportionment, Unexpired Accounts 449,356 4,409 57,439 14,157 

Unexpired Unobligated Balance, End of Year 449,356 4,409 57,439 14,157 

Expired Unobligated Balance, End of Year (Note 3) 22,952 5,883 621 798 

Unobligated Balance, End of Year (Total) 472,308 10,292 58,060 14,955 

Total Budgetary Resources $ 1,436,797 $ 160,588 $ 102,719 $ 31,008 

Outlays, Net

Outlays, Net (Total) (Discretionary and Mandatory) 797,098 134,073 41,490 14,268 

Agency Outlays, Net (Note 23) $ 797,098 $ 134,073 $ 41,490 $ 14,268 
Financial Information | SECTION 03 123

 CAPITOL POLICE 

BUILDINGS, 

GROUNDS AND 

SECURITY 

 CAPITOL POWER 

PLANT 

 HOUSE OFFICE 

BUILIDINGS 

 LIBRARY 

BULDINGS AND 

GROUNDS 

 SENATE OFFICE 

BUILDINGS 

 SUPREME COURT 

BUILDING AND 

GROUNDS 

 U.S. BOTANIC 

GARDEN 

 U.S. CAPITOL 

VISITOR CENTER 

$ 65,430 $ 50,777 $ 115,340 $ 75,668 $ 52,973 $ 31,803 $ 11,907 $ 8,521 

385,993 97,761 129,780 43,446 89,615 10,618 20,986 24,751 

— — — — — 4,630 — — 

300 9,035 9,001 3,136 30 18,847 — 211 

$ 451,723 $ 157,573 $ 254,121 $ 122,250 $ 142,618 $ 65,898 $ 32,893 $ 33,483 

$ 60,567 $ 119,236 $ 120,232 $ 49,656 $ 98,577 $ 40,543 $ 15,348 $ 26,994 

389,425 26,150 130,849 71,654 42,014 25,355 17,115 6,000 

389,425 26,150 130,849 71,654 42,014 25,355 17,115 6,000 

1,731 12,187 3,040 940 2,027 — 430 489 

391,156 38,337 133,889 72,594 44,041 25,355 17,545 6,489 

$ 451,723 $ 157,573 $ 254,121 $ 122,250 $ 142,618 $ 65,898 $ 32,893 $ 33,483 

48,415 105,201 185,033 62,790 121,992 12,346 13,356 31,457 

$ 48,415 $ 105,201 $ 185,033 $ 62,790 $ 121,992 $ 12,346 $ 13,356 $ 31,457 

$ 43,990 $ 67,479 $ 259,871 $ 76,738 $ 72,763 $ 27,606 $ 7,532 $ 23,334 

55,216 98,957 145,273 55,746 87,424 15,571 16,094 24,321 

— — — — — 5,662 — — 

— 7,289 8,067 11,112 348 29,838 — 2,251 

$ 99,206 $ 173,725 $ 413,211 $ 143,596 $ 160,535 $ 78,677 $ 23,626 $ 49,906 

$ 34,291 $ 125,792 $ 302,496 $ 70,907 $ 112,890 $ 48,833 $ 15,654 $ 42,618 

63,870 39,803 107,585 71,472 46,387 29,844 7,617 6,773 

63,870 39,803 107,585 71,472 46,387 29,844 7,617 6,773 

1,045 8,130 3,130 1,217 1,258 — 355 515 

64,915 47,933 110,715 72,689 47,645 29,844 7,972 7,288 

$ 99,206 $ 173,725 $ 413,211 $ 143,596 $ 160,535 $ 78,677 $ 23,626 $ 49,906 

33,209 111,133 245,338 60,744 105,835 9,268 13,844 27,896 

$ 33,209 $ 111,133 $ 245,338 $ 60,744 $ 105,835 $ 9,268 $ 13,844 $ 27,896 
124 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

B. Deferred Maintenance and Repairs

The AOC is responsible for ensuring that the historic facilities and 

grounds entrusted to its care remain in a safe and suitable condition 

for the current and future needs of Congress, the Supreme Court 

and the American public. 

The Federal Accounting Standards Advisory Board’s Statement of 

Federal Financial Accounting Standards 42, Deferred Maintenance 

and Repairs defines deferred maintenance and repairs (DM&R) as 

maintenance and repairs that were not performed when they should 

have been, or were scheduled, and are delayed for a future period. 

Maintenance and repairs are activities aimed at keeping general 

property, plant and equipment (PP&E) in acceptable condition. 

These activities include preventive maintenance, normal repairs and 

the replacement of parts and components. The AOC tracks DM&R 

for four asset categories: buildings and other structures, grounds 

(i.e., stewardship land), heritage assets and capitalized equipment. 

Noncapitalized and fully depreciated PP&E are excluded from the 

estimate. While the AOC tracks DM&R on capitalized equipment, its 

value is often immaterial. In FY 2021, there was no material DM&R to 

be reported for capitalized equipment. 

The AOC defines its acceptable level of condition to be “good to very 

good” based on the Facility Condition Index (FCI). The index is based 

upon the facility replacement values, which the AOC updates annually, 

and identified DM&R. The AOC uses facility condition assessments 

(FCA) to evaluate the assets’ condition and to identify deferred 

maintenance and repairs, capital renewal, capital improvements and 

capital construction work elements. The FCA tracks maintenance and 

repairs activities as work elements that are scheduled for completion. 

Rank and prioritization for the work elements are based on the 

scheduled year and project risk (which is scored as low, medium, high 

and critical). The AOC’s DM&R computation focuses solely on DM&R, 

as identified through the FCAs, and excludes capital renewal, capital 

improvements and capital construction work elements. Nonetheless, 

the AOC monitors capital renewal work elements that, if not funded, 

could become deferred maintenance in the near future. Capital 

renewal work elements, identified within a five-year period, are 

combined with DM&R. This figure is referred to as the AOC “backlog.” 

The AOC completed an initial FCA on most buildings and grounds 

under its stewardship, with some exceptions (described in the table 

below). The AOC continues to complete and update the FCAs for all 

facilities. As a result, the FCAs for some of its facilities are underway or 

in the planning stages. 

The AOC’s estimate of the amount of DM&R work required to bring 

facilities to a “good” condition, based on the FCI, was $914 million 

for the fiscal year ending September 30, 2021. The increase over 

the prior year is mostly related to additional deferred maintenance 

identified during assessments of Capitol Square, Union Square and 

the Summerhouse, as well as a reassessment of the U.S. Botanic 

Garden Production Facility. The Rayburn House Office Building and 

the James Madison Memorial Building also had significant deferred 

maintenance increases through additional identified maintenance 

work and construction cost escalations. The deferred maintenance 

backlog will continue to grow as requirements go unfunded and an 

assessed inventory nears completion.

Deferred Maintenance and Repairs ($ in thousands)

CATEGORY AS OF 10/1/20 AS OF 9/30/21 CHANGE

Buildings and Other Structures $814,536 $845,649 $31,113

Grounds 16,520 62,057 45,537

Heritage Assets — 6,039 6,039

Capitalized Equipment — — —

Total* $831,056 $913,745 $82,689

* The beginning and ending computations exclude the U.S. Capitol Police Courier 

Acceptance Facility and Production Facility Storage Building (FCAs have not 

been performed on these facilities), the Supreme Court of the United States and 

the Thurgood Marshall Federal Judiciary Building. The latter two facilities were 

excluded from this computation since funds for their care and maintenance are 

provided via a separate, non-AOC funding source — the judiciary branch’s annual 

appropriations. Pedestrian tunnels, 42 I Street, S.E., and 14 E Street, S.E. facility 

values are included and are being finalized. Deferred maintenance calculations are 

based on FY 2020 and FY 2021 AOC replacement values, updated in April 2020 and 

April 2021, respectively.

A C C E P T A B L E C O N D I T I O N D E F I N E D : 

(1) The AOC aims to maintain its assets in good or very good condition.

(2) Condition is defined by the FCI, which is calculated as the cost of deferred 

maintenance divided by the current replacement value.

(3) A ratio of less than or equal to 0.02 is considered very good, more than 0.02 and 

less than or equal to 0.05 is good, more than 0.05 and less than or equal to 0.10 is 

fair, and more than 0.10 is poor. Therefore, the AOC’s goal is to attain a ratio of less 

than or equal to 0.05 for all assets.

(4) Although an asset may be rated as being in overall good condition, individual 

systems within that asset may require maintenance and repairs to return the 

system to an acceptable condition. A view of the Russell Senate Office Building’s 

exterior stonework condition.
Financial Information | SECTION 03 125

The AOC is the steward of the heritage assets located at the U.S. Capitol Building and across the Capitol campus. In addition to the buildings and landscapes, these assets 

include architectural fine and decorative art, architectural features, archival and photographic records, and reference materials.

C. Heritage Assets

INTRODUCTION

The AOC is the steward of the heritage assets located throughout 

the Capitol campus. In addition to the buildings and landscape, 

these assets include fine and decorative art, architectural features, 

outdoor sculpture, landscape features and fixtures, living botanical 

assets, memorial trees, archival records, and reference material. 

Many of these assets are national treasures. 

The AOC Curator Division manages the resources provided by 

Congress for the conservation of art and the preservation of other 

heritage assets such as architectural drawings and photographs. The 

AOC follows professional standards established by the American 

Institute for Conservation and the National Archives and Records 

Administration. The AOC Curator prepares recommendations to 

the Joint Committee of Congress on the Library regarding the 

acquisition and placement of works of art and shares responsibility 

with the Senate and House curators for the care of collectible fine 

and decorative art. 

The AOC Curator also provides advice to the AOC jurisdictions on 

projects and contracts that involve heritage asset preservation 

issues. Curator Division staff members support AOC projects by 

conducting historical research and providing reproductions of 

photographs, architectural and engineering drawings, records, 

specifications and reports. The AOC’s Historic Preservation Officer is 

responsible for preserving the architectural features of the historic 

buildings maintained by the AOC. The Historic Preservation Officer 

works closely with the AOC Curator to document, research and 

provide information about buildings, architectural features and 

architectural decorative art, as well as to review projects, develop 

specifications and implement the AOC’s preservation policy. When 

conservation work is required, the AOC contracts with professional 

fine art conservators for necessary treatments. All conservation 

efforts are fully documented in reports maintained by the 

AOC Curator. 

The AOC Curator maintains detailed records for each work of art 

and manages computerized inventories of heritage assets.10 Within 

the Curator Division, the Records Management and Archives Branch 

preserves historic architectural and engineering drawings and 

textual records, and also creates records policies. The Photography 

and Technical Imaging Branch documents facilities, projects, 

heritage assets and congressional events, and manages and 

preserves the AOC’s photographic archives. Records are maintained 

on the Capitol campus when appropriate, while more fragile records, 

including microfilm and photographic negatives, are stored off-site 

in stable and secure conditions.

HISTORIC BUILDINGS AND STRUCTURES

The AOC is responsible for maintaining the historic buildings and 

structures on the Capitol campus. Appendix B lists the major 

facilities under the AOC’s stewardship. Those facilities deemed to be 

multipurpose heritage assets (i.e., heritage assets that are primarily 

used for general government operations) are assigned a cost on 

the Balance Sheet and presented under General Property, Plant 

and Equipment, Net. Typically, historic buildings and structures 

are added to or withdrawn from the AOC’s portfolio through 

congressional action.

10 The AOC uses The Museum System collection management software to maintain an 

inventory of heritage assets. 
126 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

S T E WA R D S H I P L A N D S A N D 

CULTURAL LANDSCAPES

The AOC-administered stewardship lands encompass more 

than 570 acres of grounds. This includes Capitol Square, the 

approximately 286 acres of grounds immediately surrounding the 

U.S. Capitol Building designed by American landscape architect 

Frederick Law Olmsted. In addition, the AOC’s cultural landscapes 

include the Summerhouse, Senate Park (Squares11 632, 633, 634, 

680, 681, 682, 683, 684, 685, 722 and 723), Senate office building 

sites and courtyards (Squares 686 and 725), House office building 

sites and courtyards (Squares 581, 635, 689 and 690), East and 

West House Underground Garages (Squares 637 and 691), Botanic 

Garden and National Garden (Square 576), Bartholdi Gardens 

(Square 578), USBG Administration Building site (Square 578), 

Union Square, Jefferson Building site (Square 730), Adams Building 

site (Square 761), Madison Building site (Square 732), Supreme 

Court of the United States site (Square 728), Marshall Building 

site (Square 722) and memorial trees planted on the U.S. Capitol 

Grounds. Typically, units of stewardship land are added to or 

withdrawn from the AOC’s portfolio through congressional action.

Memorial trees are living heritage assets planted to honor 

distinguished citizens, groups and events. Memorial trees are 

added through congressional action. For more information about 

the AOC’s memorial trees, visit www.aoc.gov/explore-capitolcampus/buildings-grounds/capitol-building/capitol-grounds/

trees. An inventory of the memorial trees as of October 1, 2020 

and September 30, 2021 follows:

MEMORIAL 

TREES

AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION

Memorial Trees 150 152 2* Poor to 

Excellent

* In FY 2021, a memorial tree was planted in memory of U.S. Capitol Police Officer 

Brian D. Sicknick. In addition, the ending inventory was adjusted to include a 

memorial tree located on the grounds surrounding the Library of Congress’ 

buildings.

GENERAL CONDITION STANDARDS

The AOC has defined condition standards based on principles and 

guidance from the American Institute for Conservation. The AOC 

performs periodic condition surveys to document and preserve 

heritage assets. Because many of the AOC’s heritage assets are located 

in working offices and public spaces rather than in a museum setting, 

the AOC must closely monitor the assets to prevent damage. Outdoor 

sculptures and fixtures exposed to weather and pollutants require 

regular conservation, follow-up inspections and periodic maintenance 

treatments. The table, Heritage Assets Condition Rating Scales, 

summarizes the condition survey rating scales used by the AOC.

COLLECTIBLE HERITAGE ASSETS

In the following tables, footnotes explain changes in condition or 

inventory count.

11 The city of Washington, D.C. is divided into parcels of land designated as 

numbered squares.

1. U.S. Capitol Building

The U.S. Capitol Building is an important example of 19th-century 

neoclassical architecture. While a working building, the U.S. Capitol 

Building is also considered a museum of American art and history 

with millions of visitors each year.

1.1. Fine Art

This collection includes unique works of art that are not 

permanently attached to or designed for the structure (i.e., 

collectibles). They are separated into works that are under the 

jurisdiction of the Joint Committee of Congress on the Library and 

cared for by the AOC (“joint art”), and those that were originally 

accepted by the Joint Committee of Congress on the Library and 

are joint in subject matter or acquisition (“possibly joint”). The 

possibly joint assets are in the Senate and House wings of the U.S. 

Capitol Building and in many cases are part of the Senate or House 

collections and cared for by the Senate and House curators.

1.1.1. Interior Sculpture

These artworks consist primarily of bronze and marble statues in the 

National Statuary Hall Collection. This collection was established in 

1864 and completed in 2005. Each state is allowed to include two 

statues in the collection. Periodically, states remove and replace 

statues. In FY 2011, a long-range annual conservation maintenance 

contract for sculpture was implemented. By the end of FY 2021, 

most statues have received at least two rounds of maintenance and 

are in excellent condition.

SCULPTURE AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION

1.1.1.1 National Statuary Hall 

Statues 100 98 (2)1 Excellent

1.1.1.2 Other Statues2 10 10 — Excellent

1.1.1.3 Possibly Joint Statues 3 3 — Good

1.1.1.4 Busts 16 16 — Fair to 

Excellent 

1.1.1.5 Possibly Joint Busts 21 21 — Good

1.1.1.6 Other (Maquettes)3 31 86 554 Poor to 

Excellent

1

 The sculptures of Robert E. Lee and Edmund Kirby Smith were removed from the 

National Statuary Hall Collection in FY 2021.

2

 The Magna Carta display, located in the Crypt, is included in this category.

3

 A maquette of Chief Standing Bear was approved for acquisition in FY 2021 and is 

currently in CVC storage.

4

 Molds for the missing pieces of the Grant Memorial were included in the inventory 

for FY 2021.

1.1.2. Framed Oil Paintings

Framed oil paintings under the AOC’s stewardship include portraits 

of former Architects of the Capitol and other paintings. Many of the 

frames for these paintings are also heritage assets.

PAINTINGS AS OF 

10/01/20

AS OF 

9/30/21

CHANGE GENERAL 

CONDITION

1.1.2.1 Portraits 19 19 — Good to 

Excellent 

1.1.2.2 Possibly Joint Portraits 26 26 — Fair to 

Excellent

1.1.2.3 Paintings Other Than 

Portraits 12 12 — Good to 

Excellent

1.1.2.4 Possibly Joint Paintings 23 23 — Excellent
Financial Information | SECTION 03 127

HERITAGE ASSETS CONDITION RATING SCALES

CONDITION RATING SCALE DEFINITION PRIORITY

Heritage Assets 

Poor Asset exhibits, or is in danger of, structural damage or loss. Requires major conservation or repair to achieve structural and 

aesthetic integrity. High

Fair Asset is structurally sound but requires major conservation to improve aesthetic integrity. Medium

Good Asset is structurally sound and retains aesthetic integrity. Requires minor conservation. Low

Excellent Asset is new, or has been conserved as close to its original condition and appearance as possible, or a conservator has 

determined that no conservation treatment is needed. Requires only routine maintenance.

No Conservation 

Treatment Needed

Historic Paper Records

Poor Records are not yet stored in archives or their preservation is endangered. High

Fair Records are preserved in secure and stable conditions in archives. Medium

Good Records are accessioned and placed in acid-free containers. Low

Excellent Records are fully processed and stored in archival folders with all major preservation problems addressed. No Treatment Needed

Photographic Records

Poor Film photographs are not in secure storage or digital files are not identified, readable or backed up. High

Fair Records are in secure storage, subject is identified and image is backed up. Medium

Good Negatives are properly housed and inventoried or digital files are batch-captioned and backed up in multiple locations. Low

Excellent Negatives are stored off-site in archival conditions or digital files are fully captioned with images backed up in multiple 

locations with routine data migration. No Treatment Needed

Painted in 1865 by Constantino Brumidi, “The Apotheosis of Washington” 

in the eye of the U.S. Capitol Rotunda depicts George Washington rising to 

the heavens in glory. The fresco is suspended 180 feet above the Rotunda 

floor and covers an area of 4,664 square feet.

1.1.3. Works of Art on Paper

The AOC is the steward of works on paper primarily related to 

the U.S. Capitol Building. This collection is used for research and 

reference purposes and is generally not on display.

WORKS OF ART ON PAPER AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION

1.1.3.1 Watercolors 6 6 — Good

1.1.3.2 Prints and Drawings 72 72 — Poor to 

Excellent

1.1.3.3 Sketches for Murals Approx. 

232

Approx. 

232 — Fair to 

Excellent

1.2. Decorative Art

Decorative art ranges from objects of great craftsmanship and 

historical importance to mass-produced objects. Often the name of 

the designer or maker is unknown. Conservation treatment may be 

appropriate for the highest level of decorative art.

DECORATIVE ART AS OF 

10/01/20

AS OF 

9/30/21

CHANGE GENERAL 

CONDITION

1.2.1 Gilded Mirror Frames 91 911 — Poor to 

Excellent

1.2.2 Historic Furniture 39 39 — Fair to Good

1.2.3 Antique Clocks 10 10 — Good to 

Excellent

1.2.4 Textiles 2 2 — Good

1

 This number primarily includes frames in the House side of the U.S. Capitol 

Building. The Senate Curator is responsible for inventory and conservation of 

Senate mirror frames.
128 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

1.5. Architectural Features

Historic architectural features include woodwork, shutters, columns, 

capitals, brackets, historic floors (e.g., the U.S. Capitol Building’s 

Minton tile floors) and special architectural surfaces (e.g., marble 

and scagliola). The Capitol Building Superintendent or the Senate 

Sergeant at Arms maintains these assets. While an accurate count of 

these features does not exist, their numbers are large. For example, 

there are at least 450 interior columns and pilasters with carved 

capitals. In recent years, special attention has been paid to the 

restoration of historic scagliola.

2. U.S. Capitol Grounds and Arboretum

The U.S. Capitol Grounds and Arboretum cover approximately 286 

acres on which the U.S. Capitol Building, Senate and House office 

buildings and Capitol Power Plant reside. The grounds include 

sculptures, monuments and living assets such as trees and plantings. 

Heritage assets include ornamental fountains, drinking fountains, 

outdoor seating, stone retaining walls and light fixtures.

2.1. Outdoor Sculpture

OUTDOOR SCULPTURE AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION 

2.1.1 Monuments/Statues 4 4 — Excellent

2.1.2 Fountains With Sculpture 1 1 — Good 

2.1.3 Plaques 5 5 — Good 

2.2. Landscape Features and Fixtures (including fixtures on the 

exterior of the U.S. Capitol Building)

LANDSCAPE FEATURES 

AND FIXTURES 

AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION

2.2.1 Urns 20 20 — Good

2.2.2 Lighting Fixtures Approx. 

166

Approx. 

166 — Fair to 

Excellent

2.2.3 Basins (with fountains) 2 2 — Excellent

The AOC’s historic architectural features include the U.S. Capitol’s historic 

floors. The richly patterned and colored Minton tile floors, first installed in 

1856, are one of the most striking features of the U.S. Capitol extensions.

1.3. Architectural Fine Art

This category of fine art is part of the fabric of a structure, 

permanently attached to a structure or building systems, or 

designed as part of an architectural space.

ARCHITECTURAL FINE ART AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION 

1.3.1 Pediments (exterior) 3 3 — Fair to 

Excellent

1.3.2 Statues (interior and 

exterior) 6 6 — Good to 

Excellent

1.3.3 Plaster Model of 

Sculpture 3 3 — Excellent

1.3.4 Sculptured Stair Railings 4 4 — Excellent

1.3.5 Reliefs 39 39 — Good

1.3.6 Sculptured Bronze Doors 

(sets) (interior and exterior) 4 4 — Excellent

1.3.7 Plaques 31 31 — Fair to 

Excellent

1.3.8 Stained Glass 16 16 — Poor to Good

1.3.9 Rotunda Paintings 8 8 — Fair1

 to 

Excellent

1.3.10 Rooms or Spaces With 

Fine Art Murals 84 842 — Fair to 

Excellent

1

 Air pockets have continued to increase in size on the painting “Landing of 

Columbus,” which will require deinstallation for structural and cosmetic treatment. 

Conservation planning is in progress.

2

 Each room or space may contain multiple sections of murals in vaults and lunettes 

with individual mural scenes or figures. There are hundreds of images painted on 

the U.S. Capitol Building’s walls. Mural conservation has been ongoing since 1981 

and most murals are in at least “good” condition.

1.4. Architectural Decorative Art

Architectural decorative art is part of the fabric of a structure, 

permanently attached to a structure or building systems or 

designed as part of an architectural space. Decorative art ranges 

from objects of great craftsmanship and historical importance to 

mass-produced objects. Often the name of the designer or maker 

is unknown. Conservation treatment may be appropriate for the 

highest level of decorative art. Approximate numbers are based 

on the Capitol Building superintendent’s inventory. Only about a 

third of the lighting fixtures are historic heritage assets appropriate 

for restoration. The more utilitarian fixtures are at times moved 

or replaced.

ARCHITECTURAL 

DECORATIVE ART

AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION 

1.4.1 Mantels Approx. 

167

Approx. 

167 — Good

1.4.2 Chandeliers1 Approx. 

285

Approx. 

285 — Good to 

Excellent

1.4.3 Pendant Lights Approx. 

155

Approx. 

155 — Good

1.4.4 Sconces Approx. 

100

Approx. 

100 — Good

1.4.5 Rooms or Spaces With 

Decorative Murals 48 48 — Fair to 

Excellent

1

 This category refers to crystal chandeliers in the U.S. Capitol Building.
Financial Information | SECTION 03 129

3. House Office Buildings

There are three major office buildings (the Cannon, Longworth and 

Rayburn House Office Buildings) and two annex buildings for the 

House of Representatives.

ARCHITECTURAL FINE ART AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION 

3.1 Pediments (exterior) 1 1 — Good

3.2 Sculpture (exterior) 8 8 — Fair

3.3 Plaster Models of Sculpture 25 25 — Good

3.4 Architectural Models on 

Display 1 1 — Fair

3.5 Reliefs 1 1 — Good

3.6 Murals 1 1 — Good

3.7 Plaques 1 1 — Good

3.8 Monuments/Statues 2 2 — Good

3.9 Maquettes 1 1 — Excellent

4. Senate Office Buildings

There are three major office buildings for the United States Senate: 

the Russell, Dirksen and Hart Senate Office Buildings.

ARCHITECTURAL FINE ART AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION

4.1 Pediments (exterior) 1 1 — Fair

4.2 Sculpture 1 1 — Poor

4.3 Plaster Models of Sculpture 6 6 — Good

4.4 Architectural Models on 

Display 4 4 — Excellent

4.5 Maquettes 1 1 — Good

4.6 Reliefs (exterior) 51 51 — Good

4.7 Rooms With Murals 1 1 — Excellent

5. Library Buildings and Grounds

The Library of Congress’s 1897 Thomas Jefferson Building contains 

large areas of decorative painting, relief plaster, woodwork, 

stonework and mosaic ceilings. Additional facilities include the John 

Adams Building, which is embellished with art deco-style decorative 

metal and relief stonework, and the modern James Madison 

Memorial Building.

5.1. Architectural Fine Art

ARCHITECTURAL FINE ART AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION

5.1.1 Statues 27 27 — Good to 

Excellent

5.1.2 Sculptured Stair Railings 2 2 — Good

5.1.3 Reliefs (interior) 73 73 — Good

5.1.4 Sculptured Bronze Doors 

(sets) (exterior) 17 17 — Excellent

5.1.5 Stained Glass/Mosaics 17 17 — Fair to Good

5.1.6 Rooms or Spaces With 

Fine Art Murals 32 32 — Fair to 

Excellent

5.1.7 Sculptural Clock 1 1 — Excellent

5.1.8 Exterior Sculpture 1 1 — Fair

5.2. Outdoor Sculpture

OUTDOOR SCULPTURE AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION 

5.2.1 Fountains With Sculpture 3 3 — Poor to 

Excellent

6. Supreme Court Building and Grounds

The Supreme Court of the United States is richly adorned with 

decorative carvings in marble and wood, decorative metal and 

plaster work and decorative painting.12

ARCHITECTURAL FINE ART AS OF 

10/01/20

AS OF 

9/30/21

CHANGE GENERAL 

CONDITION 

6.1 Pediments (exterior) 2 2 — Excellent

6.2 Sculpture (exterior) 2 2 — Excellent

6.3 Reliefs 4 4 — Good

6.4 Light Posts With Reliefs 

(exterior) 2 2 — Poor to Fair

6.5 Bronze Door (set) (exterior) 1 1 — Good

7. U.S. Botanic Garden

The U.S. Botanic Garden (USBG) maintains a collection of living 

plants used to fulfill the mission of the institution. The collection is 

categorized as follows:

 Plants of historical or current institutional significance (e.g., 

individuals or descendants from the Wilkes Expedition, 

commemorative gifts from foreign governments and 

descendants of plants of American historical significance)

 Plants appearing on approved permanent landscape planting 

plans for the Conservatory, outside gardens, Bartholdi Gardens 

and the Production Facility

 Plants listed for rotation into permanent exhibits in the 

Conservatory, outside gardens or Bartholdi Gardens

 Plants used in ongoing education programs

 Plants needed to support future exhibits or programs and whose 

quality or relative unavailability in the commercial trade justifies 

inclusion in the permanent collection

 Orchid species and selected orchid cultivars

 Listed rare and endangered species received under the 

Convention on International Trade in Endangered Species of 

Flora and Fauna repository agreement, through interagency 

transfer or by other means

 Medicinal plants whose quality or relative unavailability in the 

commercial trade justifies inclusion in the permanent collection

 Plants used for accent and horticultural propagation stock, including 

those obtained for trial performance under local conditions 

12 The collectible fine art within the Supreme Court of the United States does not fall 

under the AOC’s jurisdiction and is cared for by the Curator of the Supreme Court of 

the United States.
130 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

The USBG uses the plant collection for exhibition, study and 

exchange with other institutions. Noteworthy plants include 

economically significant plants, medicinal plants, orchids, cacti, 

succulents, bromeliads, cycads and plants from Mediterranean 

regions. The USBG’s gardens and living collections are important 

resources for the study of threatened plants and their conservation. 

The USBG maintains extensive database records of the plant 

collections, which track the location, condition and provenance 

of each plant. This information is available to the public on the 

USBG website, www.usbg.gov/plant-collections. The collection is 

continually reviewed for accuracy in identification.

7.1 Outdoor Sculpture

OUTDOOR SCULPTURE AS OF 

10/01/20

AS OF 

9/30/21 CHANGE GENERAL 

CONDITION 

7.1 Fountains With Sculpture 1 1 — Good

7.2 Living Botanical Assets 

The table identifies the USBG’s inventory of living botanical assets. 

Plant inventories for FY 2021 and the prior five years are provided 

to facilitate comparison. At the end of FY 2021, the USBG held 

more than 9,000 accessions including more than 42,000 individual 

plants at the Conservatory and the Blue Plains Production Facility in 

southwest Washington, D.C. The USBG maintains more than 6,000 

unique taxa in its collections.

At the U.S. Botanic Garden, a view of a corpse flower (Amorphophallus 

titanum) in the Conservatory.

ALL PLANTS (INCLUDING ORCHID COLLECTION)

FY ACCESSIONS1 NAMES (TAXA)

2 INDIVIDUALS3 DEACCESSIONS4

2016 10,423 6,803 47,564 1,958

2017 9,468 6,227 44,026 707

2018 9,105 6,041 41,470 1,017

2019 9,651 6,282 43,523 1,531

2020 9,925 6,231 57,576 386

2021 9,612 6,035 42,045 737

1

 Current number of accessions assigned to living plants. An individual accession 

number might include multiple lots (divisions) that might include multiple 

individual plants.

2

 Number of names for living plants in our database. This includes species names, 

cultivars and varieties, and is restricted to only the names for plants that are living 

at the USBG. In many cases, the USBG has numerous accessions (from different 

times and sources) of the same named plant.

3

 This number captures individual plant counts and is thus quite a bit higher that the 

number of accessions due to accessions that have multiple individuals (note: this 

number has a high degree of inaccuracy).

4

 Number of deaccessions during the fiscal year. This is due to plants dying or being 

composted/discarded due to disease or change in institutional need.

7.3 Orchid Collection 

The USBG’s orchid collection contains more than 2,400 accessions 

and 3,600 individual orchids — the largest component of the USBG’s 

plant inventory.

ORCHID COLLECTION

FY ACCESSIONS NAMES (TAXA) INDIVIDUALS DEACCESSIONS

2016 3,201 1,795 4,330 415

2017 3,017 1,795 4,230 395

2018 3,110 1,324 3,513 611

2019 2,259 1,287 3,464 983

2020 2,368 1,336 4,830 —

2021 2,474 1,366 3,604 36

8. Architectural and Engineering Artifacts

The AOC maintains an inventory of small architectural and 

engineering artifacts and models for research or exhibition. The AOC 

also maintains an inventory of large artifacts, such as pieces of stone 

removed from buildings or plaster models, for possible reuse or 

repair. The AOC maintains more than 150 tons of sculpture and stone 

removed from the East Front of the U.S. Capitol Building during its 

1958 extension in a secure facility at Fort Meade, Maryland. The AOC 

Curator tracks these artifacts and maintains lists of the objects in 

storage. It is not possible to provide a meaningful count, as some 

crates hold multiple pieces and some items are stored in pieces in 

multiple crates.

9. Historical Records and Reference Materials

The Records Management and Archives Branch (RMAB) manages the 

historical materials that comprise the AOC archival collection and 

creates records schedules based on archival appraisal and records 

surveys. The RMAB maintains the architectural and engineering 

drawings, textual records and electronic records in accordance 

with archival principles to facilitate ongoing preservation, access, 

reference and research. Traditional architectural and engineering 

drawings and manuscripts require special archival storage and 
Financial Information | SECTION 03 131

handling because of their physical attributes. The RMAB maintains 

stable temperature and humidity conditions, controls access and 

provides security for the records. Microfilmed backups of many 

drawings are stored off-site for protection. Digital scans of drawings 

are also important backups for the original drawings.

9.1. Accessioned Materials 

Accessioned materials represent the permanent records that have 

been accepted into the archival collection. Once accessioned, 

these materials receive archival holdings maintenance and archival 

description. Holdings maintenance enables ongoing preservation 

and includes rehousing in acid-free folders and storage boxes and 

digitizing into archival electronic formats. Archival description 

facilitates reference and research and includes updating finding aids, 

enhancing cross-references and cataloging in the archival databases.

9.1.1. Architectural and Engineering Drawings

Beginning with plans for the construction of the U.S. Capitol 

Building in the early 1800s, and with primary holdings from the 

1850s on, the architectural and engineering drawings in the 

archival collection document a wide range of subjects in various 

formats (e.g., pencil renderings, finely detailed ink and watercolor 

working drawings, polished presentation pieces, blueprints and 

modern computer-aided design drawings). These drawings are vital 

for current construction and maintenance projects, as well as for 

historic research. The files on previous projects aid the planning and 

development of new projects. 

The AOC archives contain more than 194,000 architectural and 

engineering drawings with new materials added each year. The 

AOC has digitized approximately 60 percent of these drawings 

and indexed them in a web-based database to facilitate search 

and retrieval. The archival staff performs maintenance and basic 

preservation on the drawings, with specialized work on fragile and 

historic drawings performed by contracted conservation experts.

9.1.2. Specifications and Other Textual Records

The AOC archives maintain administrative and project records that 

document the AOC’s history, as well as the construction history of 

the buildings on the Capitol campus. These holdings date from the 

U.S. Capitol extension project in the 1850s and continue through the 

present. Of special value are the letters from artists and architects 

dating to the 1850s.

9.1.3. Electronic Archival Records 

Electronic records are generated throughout the agency. The 

records schedules apply to both paper and electronic records. The 

RMAB continues to promote the transfer of permanent electronic 

records to the archival collection where they may be preserved as 

heritage assets.

9.2. Preaccessioned Materials 

Preaccessioned materials account for all incoming materials that 

are transferred to the RMAB for the year and are categorized as 

Architectural and Engineering Drawings, Specifications and Other 

Textual Records or Electronic Archival Records. This is an important 

initial quality control step where the materials are screened before 

the RMAB formally registers the transfer as part of the archival 

INFOGRAPHIC

 

 

 

 

 

 

 

 

 

 

 
132 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

USING PHOTOGRAPHY FOR HISTORIC PRESERVATION

The AOC Photography and Technical Imaging Branch (PTIB) 

is fundamental to the AOC’s stewardship mission, providing 

a reliable visual record of the agency’s asset preservation 

and accomplishments. For instance, the photographs 

included throughout this annual report supplement 

the AOC’s performance and financial information by 

bringing complex projects, events and ideas to life.

One of PTIB’s most important functions is recording the 

details of the AOC’s restoration projects, which supports the 

life-cycle maintenance of heritage assets. Photographs also 

highlight the diverse contributions of the many talented 

people who facilitate the agency’s projects and provide 

visual evidence of significant Capitol campus events. 

Following the events of January 6, 2021, PTIB arrived early the 

next morning to begin documenting the damage to the U.S. 

Capitol. This photographic evidence was provided to the AOC 

damage assessment teams and to relevant law enforcement 

agencies. Over the following months, AOC photographers created 

a public record of the resulting facility and grounds repairs, 

the setup of extensive security fencing around the U.S. Capitol, 

the 59th Presidential Inauguration, the months-long presence 

of National Guard troops on the Capitol campus and the lying 

in honor for two USCP officers killed in the line of duty. The 

COVID-19 pandemic added significantly to these challenges, as 

AOC photographers worked to observe the agency’s rigorous 

safety protocols while performing their duties, often in confined 

and crowded spaces. Nevertheless, the PTIB successfully 

documented the progress of all major AOC on-site projects.

In addition to its photography duties, PTIB is responsible for 

the preservation and management of the AOC’s photographic 

collection, which contains more than 360,000 unique objects 

and files. These responsibilities include post-processing and 

archiving new photographs. This fiscal year, the agency’s 

maximum telework status allowed AOC photographers to 

focus on important administrative tasks, such as transitioning 

digital content to a new photo database and enabling 

more efficient support to Congress and AOC staff.

Photography supports the most complete and fully descriptive 

record of the AOC’s important history and brings a measure 

of accountability and transparency to existing assets, project 

design and project execution. The AOC photographers 

strive to support the agency by producing images and 

audiovisual content of maximum clarity, descriptiveness and 

accuracy that communicate the timeless yet ever-evolving 

nature of the Capitol campus for future generations.

CAPITOL

HIGHLIGHTS
Financial Information | SECTION 03 133

collection. The screening process identifies temporary, duplicative 

or otherwise nonrecorded materials that are not appropriate for 

accessioning into the archival collection. The process also identifies 

issues that may require resolution before the transfer, such as 

incomplete transfer documentation, unarranged or partial materials 

and archival preservation issues. 

9.3. Small Architectural Models 

The AOC preserves a small number of display models as part of the 

architectural record for study and possible future exhibit purposes.

9.4. Photographs

The PTIB produces photographs relating to architectural design, 

construction, renovation and restoration of the historic buildings 

and grounds under the AOC’s care. The PTIB also documents 

major ceremonial events, works of art, and conservation projects 

and produces graphic slides, displays and videos for the AOC and 

congressional use.

The AOC has an archive of more than 360,000 photographic images 

dating to the 1850s. The collection includes approximately 4,000 

glass plates, in addition to hundreds of thousands of images in 

negative, print and digital format. Each unique image has a control 

number (one image may exist in multiple formats). The AOC 

stores most of the glass and film negatives off-site for long-term 

preservation. Digital files are systematically backed up and copied.

9.5, 9.6 and 9.7. Reference Files, Library Materials and Conservation 

Reports

One of the largest curatorial functions the AOC performs is 

maintaining the inventory and files for art and historical objects. The 

AOC Curator maintains a file on each work of art, artist and room 

in the U.S. Capitol Building, as well as files on the buildings and 

architectural subjects. The AOC Curator also keeps records on major 

ceremonies, such as joint sessions of Congress and inaugurations. 

The AOC uses these files to answer questions from AOC staff and 

contractors, Members of Congress and their staff, and the public, 

and to provide information for written fact sheets and publications. 

The U.S. Capitol Historical Society Fellowship, managed by the 

AOC Curator, continually adds to the knowledge of the art and 

architecture of the U.S. Capitol Building.

RECORDS AND REFERENCE

AS OF 10/01/20 AS OF 9/30/21 CHANGE GENERAL CONDITION

TRADITIONAL 

RECORDS

ELECTRONIC 

RECORDS

TRADITIONAL 

RECORDS

ELECTRONIC 

RECORDS

TRADITIONAL 

RECORDS

ELECTRONIC 

RECORDS

TRADITIONAL 

RECORDS

ELECTRONIC 

RECORDS

9.1 Accessioned Materials

9.1.1 Architectural and Engineering 

Drawings Approx. 193,987 — Approx. 194,063 — 76 — Fair to Excellent N/A

9.1.2 Specifications and Other Textual 

Records (linear feet) Approx. 9,179.25 — Approx. 9,194.25 — 15 — Fair to Excellent N/A

9.1.3 Electronic Archival Records 

(megabytes[MB]) — 12,101.38MB — 17,577.70MB - 5,476.32MB N/A N/A

9.2 Preaccessioned Materials

9.2.1 Architectural and 

Engineering Drawings

Rolls, small: 8; 

Rolls, medium: 

20

— Rolls, small: 1; 

Rolls, medium: 1 — N/A — N/A N/A

9.2.2 Specifications and Other 

Textual Records

Boxes, small: 2; 

Boxes, medium: 

88

—

Boxes, small: -; 

Boxes, medium: 

15 

— N/A — N/A N/A

9.2.3 Electronic Records (MB) — 266.00 MB — 452.00 MB N/A N/A N/A N/A

9.3 Small Architectural Models 18 — 18 — — — Fair N/A

9.4 Photographs 348,400 — 362,350 — 13,950 — Good to 

Excellent N/A

9.5 Reference Files (drawers) 108 — 108 — — — Good N/A

9.6 Library Materials (volumes) 1,219 — 1,240 — 21 — Good N/A

9.7 Conservation Reports 

(notebooks) 465 — 471 — 6 — Good N/A
134 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

CATEGORY

AS OF SEPTEMBER 30, 2021 AS OF SEPTEMBER 30, 2020

AOC JURISDICTION AOC JURISDICTION

Capital Construction and OperationsCapitol BuildingCapitol Grounds 

and Arboretum House Office BuildingsLibrary Buildings and GroundsSenate Office BuildingsSupreme Court 

Building and Grounds

U.S. Botanic GardenTotalCapital Construction and OperationsCapitol BuildingCapitol Grounds and Arboretum House Office BuildingsLibrary Buildings and GroundsSenate Office BuildingsSupreme Court 

Building and Grounds

U.S. Botanic GardenTotal

Memorial Trees — — 152 — — — — — 152 — — 150 — — — — — 150 

Artwork

Fine Art

Interior Sculpture

National Statuary 

Hall Statues — 98 — — — — — — 98 — 100 — — — — — — 100

Other Statues — 10 — — — — — — 10 — 10 — — — — — — 10

Possibly Joint Statues — 3 — — — — — — 3 — 3 — — — — — — 3

Busts — 16 — — — — — — 16 — 16 — — — — — — 16

Possibly Joint Busts — 21 — — — — — — 21 — 21 — — — — — — 21

Other (Maquettes, etc.) — 86 — — — — — — 86 — 31 — — — — — — 31

Subtotal — 234 — — — — — — 234 — 181 — — — — — — 181

Framed Oil Paintings

Portraits — 19 — — — — — — 19 — 19 — — — — — — 19

Possibly Joint Portraits — 26 — — — — — — 26 — 26 — — — — — — 26

Paintings Other 

Than Portraits — 12 — — — — — — 12 — 12 — — — — — — 12

Possibly Joint Paintings — 23 — — — — — — 23 — 23 — — — — — — 23

Subtotal — 80 — — — — — — 80 — 80 — — — — — — 80

Works of Art on Paper

Watercolors — 6 — — — — — — 6 — 6 — — — — — — 6

Prints and Drawings — 72 — — — — — — 72 — 72 — — — — — — 72

Sketches for Murals — 232 — — — — — — 232 — 232 — — — — — — 232

Subtotal — 310 — — — — — — 310 — 310 — — — — — — 310

Subtotal: Fine Art — 624 — — — — — — 624 — 571 — — — — — — 571

Decorative Art

Gilded Mirror Frames — 91 — — — — — — 91 — 91 — — — — — — 91

Historic Furniture — 39 — — — — — — 39 — 39 — — — — — — 39

Antique Clocks — 10 — — — — — — 10 — 10 — — — — — — 10

Textiles — 2 — — — — — — 2 — 2 — — — — — — 2

Subtotal — 142 — — — — — — 142 — 142 — — — — — — 142

Architectural Fine Art

Pediments (Exterior) — 3 — 1 — 1 2 — 7 — 3 — 1 — 1 2 — 7 

Statues/Sculpture — 6 — 8 27 1 2 — 44 — 6 — 8 27 1 2 — 44 

Plaster Models of Sculpture — 3 — 25 — 6 — — 34 — 3 — 25 — 6 — — 34 

Sculptured Stair Railings — 4 — — 2 — — — 6 — 4 — — 2 — — — 6 

Architectural Models on Display — — — 1 — 4 — — 5 — — — 1 — 4 — — 5 

Reliefs — 39 — 1 73 51 4 — 168 — 39 — 1 73 51 4 — 168 

Light Posts With 

Reliefs (Exterior) — — — — — — 2 — 2 — — — — — — 2 — 2 

Bronze Doors (Sets) — 4 — — 17 — 1 — 22 — 4 — — 17 — 1 — 22 

Plaques — 31 — 1 — — — — 32 — 31 — 1 — — — — 32 

Monuments/Statues — — — 2 — — — — 2 — — — 2 — — — — 2 

Stained Glass/Mosaics — 16 — — 17 — — — 33 — 16 — — 17 — — — 33 

Rotunda Paintings — 8 — — — — — — 8 — 8 — — — — — — 8 

Rooms or Spaces With 

Fine Art Murals — 84 — 1 32 1 — — 118 — 84 — 1 32 1 — — 118 

Maquettes — — — 1 — 1 — — 2 — — — 1 — 1 — — 2 

Sculptural Clock — — — — 1 — — — 1 — — — — 1 — — — 1 

Exterior Sculpture — — — — 1 — — — 1 — — — — 1 — — — 1 

Subtotal — 198 — 41 170 65 11 — 485 — 198 — 41 170 65 11 — 485 

Summary of Heritage Assets

This consolidating schedule reports the heritage assets by jurisdiction and AOC-wide.
Financial Information | SECTION 03 135

CATEGORY

AS OF SEPTEMBER 30, 2021 AS OF SEPTEMBER 30, 2020

AOC JURISDICTION AOC JURISDICTION

Capital Construction and OperationsCapitol BuildingCapitol Grounds

and ArboretumHouse Office BuildingsLibrary Buildings and GroundsSenate Office BuildingsSupreme Court

Building and Grounds

U.S. Botanic GardenTotalCapital Construction and OperationsCapitol BuildingCapitol Groundsand ArboretumHouse Office BuildingsLibrary Buildings and GroundsSenate Office BuildingsSupreme Court

Building and Grounds

U.S. Botanic GardenTotal

Architectural Decorative Art

Mantels — 167 — — — — — — 167 — 167 — — — — — — 167 

Chandeliers — 285 — — — — — — 285 — 285 — — — — — — 285 

Pendant Lights — 155 — — — — — — 155 — 155 — — — — — — 155 

Sconces — 100 — — — — — — 100 — 100 — — — — — — 100 

Rooms/Spaces With 

Decorative Murals — 48 — — — — — — 48 — 48 — — — — — — 48 

Subtotal — 755 — — — — — — 755 — 755 — — — — — — 755 

TOTAL — 1,719 — 41 170 65 11 — 2,006 — 1,666 — 41 170 65 11 — 1,953 

Architectural Features

Outdoor Sculptures

Monuments/Statues — — 4 — — — — — 4 — — 4 — — — — — 4 

Fountains With Sculpture — — 1 — 3 — — 1 5 — — 1 — 3 — — 1 5 

Plaques — — 5 — — — — — 5 — — 5 — — — — — 5 

Subtotal — — 10 — 3 — — 1 14 — — 10 — 3 — — 1 14 

Landscape Features and Fixtures

Urns — — 20 — — — — — 20 — — 20 — — — — — 20 

Lighting Fixtures — — 166 — — — — — 166 — — 166 — — — — — 166 

Basins — — 2 — — — — — 2 — — 2 — — — — — 2 

Subtotal — — 188 — — — — — 188 — — 188 — — — — — 188 

TOTAL — — 198 — 3 — — 1 202 — — 198 — 3 — — 1 202 

Reference and Library Materials

Art and Reference 

Files (Drawers) 108 — — — — — — — 108 108 — — — — — — — 108 

Art and Reference 

Library (Volumes) 1,240 — — — — — — — 1,240 1,219 — — — — — — — 1,219 

TOTAL 1,348 — — — — — — — 1,348 1,327 — — — — — — — 1,327 

Archival Records

Architectural and 

Engineering Drawings 194,063 — — — — — — — 194,063 193,987 — — — — — — — 193,987

Specifications and Other 

Textual Records (Linear Feet) 9,194.25 — — — — — — — 9,194.25 9,179.25 — — — — — — — 9,179.25

Small Architectural Models 18 — — — — — — — 18 18 — — — — — — — 18

Conservation Reports 471 — — — — — — — 471 465 — — — — — — — 465

Photographs 362,350 — — — — — — — 362,350 348,400 — — — — — — — 348,400

TOTAL 566,096 — — — — — — — 566,096 552,049 — — — — — — — 552,049 

Electronic Archival Records (MB) 

Materials (Accessioned) 17,577.70 — — — — — — — 17,577.70 12,101.38 — — — — — — — 12,101.38 

TOTAL 17,577.70 — — — — — — — 17,577.70 12,101.38 — — — — — — — 12,101.38 

Living Botanical 

Assets (Accessions) — — — — — — — 9,612 9,612 — — — — — — — 9,925 9,925 

Note: The table does not display preaccessioned materials. These materials have been transferred to the RMAB but have yet to be screened and registered as part of the AOC's 

archival collection.
136 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

At the Thomas Jefferson Building, LED fixtures were installed 

above the column capitals in the building’s Great Hall. The lighting 

improvements were made as part of an energy savings performance 

contract to achieve cost savings across the Library Buildings and 

Grounds’ facilities.
137

Overview

This section presents required financial, operational, stewardship 

and performance information that supplements the previous 

sections of this report. A summary of each subsection is 

provided below. 

The Inspector General’s Statement of Management 

Opportunities and Performance Challenges presents the AOC 

Office of Inspector General (OIG) assessment of the agency’s most 

critical management and performance challenges and its progress in 

addressing those challenges. This section is provided in accordance 

with the Reports Consolidation Act of 2000. 

Summary of Financial Statement Audit and Management 

Assurances includes tables of audit results, material weaknesses 

in internal controls and financial system nonconformances. The 

information is a summary of the independent auditor’s financial 

statement audit, management’s evaluation of internal controls using 

the Federal Managers’ Financial Integrity Act of 1982 (FMFIA) and 

guidance from the Office of Management and Budget (OMB) Circular 

A-123. Additional information comes from management’s evaluation 

of financial systems’ conformance with financial management 

system requirements, referencing FMFIA and the Federal Financial 

Management Improvement Act (FFMIA).

Payment Integrity provides an overview of the AOC’s efforts to 

identify programs where significant improper payments may have 

occurred and how the AOC’s invoice payment process incorporates 

Treasury’s Do Not Pay capability. 

Real Property Capital Planning overviews the AOC’s real property 

square footage for the current fiscal year and baseline year. 

Energy and Sustainability Performance Management Report 

contains a summary of the AOC’s notable energy and sustainability 

program achievements, in accordance with the Energy Independence 

and Security Act of 2007. 

Small Business Accomplishments Report provides information 

on the AOC’s small business set-aside program efforts and results, in 

accordance with congressional reporting requirements. 

Human Capital Management Report summarizes the AOC’s 

personnel management system. The Architect of the Capitol Human 

Resources Act requires the AOC to develop human resources 

management programs consistent with common practices within 

the federal government and private sector organizations.

SECTION 04

OTHER

INFORMATION
138 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

DATE: October 7, 2021

TO: J. Brett Blanton

Architect of the Capitol

FROM: Christopher P. Failla, CIG

Inspector General 

SUBJECT: Statement of Management Opportunities and Performance Challenges

I am pleased to present the Statement of Management Opportunities and Performance Challenges 

(Statement) for the Fiscal Year ending September 30, 2021. This Statement, prepared pursuant to 

your request, identifies and assesses the most serious challenges facing the Architect of the 

Capitol (AOC) from the Office of Inspector General’s perspective, and the AOC’s progress in 

addressing challenges from prior year Statements. 

We look forward to working with you and our colleagues on the entire AOC team in the coming 

year to help AOC achieve its strategic vision to build a culture of accountability and 

responsibility and to improve efficiency and effectiveness throughout the AOC. Collectively, we 

can work to prevent and eliminate fraud, waste and abuse. 

If you have any questions, please contact me at 202.329.6408 or christopher.failla@aoc.gov.

Distribution List: 

Peter Bahm, Chief of Staff

Mary Jean Pajak, Deputy Chief of Staff

 Office of Inspector General

 Fairchild Bldg.

 499 S. Capitol St., SW, Suite 518 

 Washington, D.C. 20515 United States Government 202.593.1948

 www.aoc.gov MEMORANDUM

The Inspector General’s Statement of 

Management Opportunities and Performance Challenges 
Other Information | SECTION 04 139

OFFICE OF INSPECTOR GENERAL MISSION

The Office of Inspector General (OIG) promotes efficiency and effectiveness, and 

economy to deter and prevent fraud, waste, abuse and mismanagement in Architect of the 

Capitol (AOC) programs and operations. We do this through value-added, transparent, 

impactful, and independent audits, inspections and evaluations, and investigations. We 

strive to positively affect the AOC and benefit the taxpayer while keeping the AOC and 

Congress fully informed. 

INTRODUCTION

The OIG submits this Statement of Management Opportunities and Performance Challenges 

(Statement) in support of the AOC’s Performance and Accountability Report (PAR) for fiscal 

year (FY) 2021 under best practice guidance identified in the Reports Consolidation Act of 2000 

and Office of Management and Budget Circular A-136. This statement includes the most 

significant management opportunities and performance challenges facing the AOC determined 

by the OIG and based upon OIG trend analysis and observations, as well as information 

uncovered during the performance of our oversight responsibilities. 

DEVELOPMENTS IMPACTING THE AOC IN FY 2021 

All AOC programs and operations conducted in FY 2021 were done so in the midst of the 

COVID-19 pandemic, which brought about multiple challenges and constraints to include 

functioning with reduced staffing levels and in a predominately telework environment where 

those positions could be performed safely, effectively and efficiently. In addition, the events at 

the Capitol on January 6, 2021, emphasized ongoing challenges and resulted in heightened 

security and impacts to some campus projects. 

The OIG recognizes the AOC’s accomplishments in performing its core mission amid these 

challenges and highlights the below management opportunities and performance challenges to 

support effectiveness and efficiencies within AOC programs and operations. 

The Inspector General’s Statement of 

Management Opportunities and Performance Challenges (continued)
140 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

MANAGEMENT OPPORTUNITIES & PERFORMANCE CHALLENGES

The challenges listed below, in no particular order, illustrate the most significant areas the OIG

believes need improvement for the AOC to effectively manage its resources and minimize the 

potential for fraud, waste and abuse occurring within its programs and operations. Addressing 

the issues related to these challenge areas will enable the AOC to increase operational 

efficiencies and improve mission effectiveness.

1) Human Capital Management

2) Auditability & Records Retention

3) Cyber Security

4) Whistleblower Protections 

5) Balancing Safety, Security & 

Preservation

6) Working Capital Fund

7) Waste & Accountability

1) HUMAN CAPITAL MANAGEMENT

New, Renewed, or Closed for FY 2021 

Years included: 2011-2014, 2019-2021 

Key OIG Resources: 

• Suspected Violations of the Architect of the Capitol (AOC) “Government Ethics,” 

“Standards for Conduct,” “Authority and Responsibilities of the Office of Inspector 

General and Cooperation of AOC Employees” Policies and “Title 18, United States

Code §1001 – Statements or Entries Generally” (2021-0001-INVI-P) 

• Suspected Violations of the Architect of the Capitol (AOC) “Government Ethics” 

Policy; Violation of the AOC “Standards of Conduct” Policy (2021-0002-INVI-P) 

• Suspected Violations of the Architect of the Capitol (AOC) “Government Ethics,” 

“Standards of Conduct,” “Absence and Leave” Policies and “Title 31, United States 

Code §3729 – False Claims” (2021-0006-INVI-P) 

• Suspected Violations of the Architect of the Capitol (AOC) Government Ethics Policy; 

Violation of the AOC Standards of Conduct Policy (2021-0009-INVI-P) 

• Suspected Violations of the Architect of the Capitol (AOC) Administrative Leave Uses

and Update to the Administration of Leave During COVID-19; Suspected Violation of 

the AOC Standards of Conduct Policy (2021-0015-INVI-P) 

Why This Is a Challenge:

We closed this management challenge in FY

2015 due to the AOC addressing our 

concerns over a better integrated personnel 

management system and making policy 

updates to address drug and alcohol use in 

the workplace. However, in FY 2019, we 

introduced two human capital issues that 

were of concern: 1) Leadership Vacancies; 

and 2) Recruitment and Retention of Skilled 

Labor Positions. These concerns have been 

addressed within the last year. However, we 

have noticed inconsistent application of 

AOC polices and orders among the varying 

jurisdictions as an additional human capital

trend over the same duration. Specifically, 

we note that administrative leave has been 

The Inspector General’s Statement of 

Management Opportunities and Performance Challenges (continued)
Other Information | SECTION 04 141

inconsistently applied during COVID-19 

and managers and employees are 

inconsistently applying AOC Orders for

outside employment.

During FY 2021, many senior leadership 

positions across the AOC have been filled 

and this particular challenge component has 

been adequately addressed and closed. 

Likewise, the recruitment and retention of a

skilled workforce for the AOC has been 

addressed through creative, ongoing 

recruitment strategies and realignment of 

staff through the Architect’s organizational

transformation. This challenge component

has also been adequately addressed and 

closed.

We do note, however, that AOC 

jurisdictions have inconsistently applied 

COVID-19 Administrative Leave across the 

agency leaving many employees confused 

on their roles, rights and responsibilities. We 

do understand that these jurisdictions have

dynamic missions and may handle cases 

differently depending on their needs; 

however, AOC orders should be 

communicated and applied consistently 

across all jurisdictions to avoid potential 

fraud and mismanagement. 

Similarly, jurisdictions should apply AOC

Orders involving outside employment in a 

consistent manner to avoid potential fraud, 

waste, abuse and mismanagement. To this 

end, some jurisdictions comply explicitly 

with orders whilst others are more lax on 

this requirement. The OIG’s concern is that

lacking consistency, potential conflicts of 

interest arise and there is a greater risk for 

employee exhaustion, safety issues, and 

possible exposure to COVID-19.

2) AUDITABILITY & RECORDS RETENTION

New, Renewed, or Closed for FY 2021 

Years included: 2017-2021 

Key OIG Resources: 

• Evaluation of the Architect of the Capitol’s Fleet Management Program (2021-0001-

IE-P)

• Audit of the Architect of the Capitol’s Unliquidated Obligations (OIG-AUD-2021-06) 

• Audit of Cannon House Office Building Renewal Project's Subcontractors Bids and 

Awards (OIG-AUD-2021-05)

• Audit of Cannon House Office Building Renewal Project's Reimbursable Costs (OIGAUD-2021-04) 

• Flash Report Series – Independent Assessment of the Architect of the Capitol’s Role in 

Securing the Capitol Campus for Large Public Gatherings (OIG-AUD-2021-03)

• Audit of the Russell Senate House Office Building Exterior Envelope Repair and 

Restoration, Seq. II (Phases 2 and 4) Contract Modifications (OIG-AUD-2020-07)

• Audit of Senate Underground Garage Renovations and Landscape Restoration 

Project’s Contract Modifications (OIG-AUD-2020-06)

• Audit of the Cannon House Office Building Renewal Project's Contract Modifications

(OIG-AUD-2020-04)

The Inspector General’s Statement of 

Management Opportunities and Performance Challenges (continued)
142 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

• Audit of FY 2019 Financial Statements Audit Management Letter (OIG-AUD-2020-

02)

• Audit of the Architect of the Capitol's Capitol Power Plant (CPP) Cogeneration 

Facility (OIG-AUD-2019-05)

• Audit of the Architect of the Capitol's Data Center (OIG-AUD-2019-04)

• Audit of the Architect of the Capitol's Information Technology Division Contracting 

Services Blanket Purchase Agreement AOC16A3000 (OIG-AUD-2019-03)

Why This Is a Challenge:

We continue to recognize the AOC’s

challenge with executing standardized 

procedures for recording all transactions, 

communications and significant events in a 

manner that allows documentation to be 

readily available for examination. Our 

request for documentation has continued to 

take the AOC and its contractors a sizeable 

amount of time to gather and provide. At 

times, we also found that the requested 

information provided is either incomplete or

not provided. 

The AOC’s procedures on documentation do 

not promote a fully standardized process; 

therefore, documentation maintained varies

amongst staff and from jurisdiction to 

jurisdiction. Documentation should be 

appropriately detailed and organized, and 

contain sufficient information to support

transactions, events and management

decisions. Effective documentation will 

provide a means to: 

• Retain historical information of the

transaction or event; 

• Mitigate the risk of having the 

information limited to a few staff; and 

• Communicate and make available in a 

timely manner the information to

external parties such as external 

auditors. 

All transactions and events should be 

promptly recorded and documented to 

maintain relevance and value to AOC 

management and third party stakeholders. 

The documentation should apply to the 

entire process or life cycle of a transaction 

or event from its initiation and authorization 

through its final status in summary records.

Properly managed and maintained 

documentation with identified points of 

contact would better support management

decisions and allow for improved 

management reviews and auditability.

Our audits and various reviews conducted 

over the last few years have consistently 

identified these deficiencies – 

documentation not being ready and available 

for examination. We have made several 

recommendations for improvements and the 

AOC has concurred with our 

recommendations. The AOC has 

implemented or is in the process of 

implementing our recommendations, which 

supports progress in managing this 

challenge.

The Records Retention and Access

component to this challenge, first identified 

in FY 2020, is a distinct and continuing 

issue within this auditability challenge. We 

have combined these challenges for FY

2021 given their topic similarity.

The Inspector General’s Statement of 

Management Opportunities and Performance Challenges (continued)
Other Information | SECTION 04 143

The AOC’s retention of and access to 

records is a matter of efficiency for the OIG

and other jurisdictional operations, and is 

necessary for effective preservation and 

safeguarding of institutional knowledge. 

Retention of and access to records, to 

specifically include historic and cataloged

AOC orders and policies, is a challenge for

total knowledge management. 

Through the course of its work, the OIG has

identified instances when the AOC has not 

retained specific records, which creates 

inefficiencies and diminishes integrity in the

preservation of AOC historical records. The

AOC makes the most recent orders and 

policies transparent by posting them to their

intranet; however, preceding polices are

more difficult to ascertain. The OIG makes 

reasonable effort to consider the most 

current orders and polices in place for all 

audits, inspections and evaluations, and 

investigations, though some events occur 

prior to the most recent or published order or 

policy and, thus, the preceding order or 

policy must be consulted. The AOC does not 

adequately maintain or provide accessible, 

cataloged preceding orders or polices for

consultation, which leads to gaps in OIG

activities, and inconsistencies in AOC

operations and internal controls. 

Our 2017 challenge of A Single Source 

AOC Liaison Managing Concurrent Projects 

is also a related component of this challenge

and has been adequately addressed by the 

AOC through the establishment of a liaison 

to the OIG within both the Architect’s front 

office and the Office of Chief Engineer.

3) CYBER SECURITY

New, Renewed, or Closed for FY 2021 

Years included: 2017-2021 

Key OIG Resources: 

• Supervisory Employee 1: Suspected Violations of the Architect of the Capitol (AOC) 

“Standards of Conduct” and “Information Technology (IT) Resources and De Minimis 

Use” Policies and the “Information Technology Division Rules of Behavior” Policies. 

Supervisory Employee 2: Suspected Violations of the AOC “Standards of Conduct” 

and “IT Resources and De Minimis Use” Policies (2021-0005-INVI-P) 

• Suspected Violations of the Architect of the Capitol (AOC) “Standards of Conduct” 

and “Information Technology (IT) Resources and De Minimis Use” Policies and the 

“Information Technology Division Rules of Behavior” (2021-0004-INVI-P) 

• Evaluation of the Architect of the Capitol’s Capitol Power Plant Cogeneration Facility 

Cybersecurity Posture (2019-0002-IE-P)

• Evaluation of the Architect of the Capitol’s Cybersecurity Program (2018-0001-IE-P)

Why This Is a Challenge:

The AOC is responsible for the 

maintenance, operations, development and 

preservation of the U.S. Capitol campus. 

Additionally, it is responsible for effectively 

managing the information technology (IT) 

used in AOC programs and operations. 

The Inspector General’s Statement of 

Management Opportunities and Performance Challenges (continued)
144 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Information and communications 

technology is increasingly integral to most 

facets of AOC programs and operations. The

result is that IT devices and components are 

generally interdependent with disruption in

one node impacting others. 

Recent and well publicized data breaches 

and ransomware attacks on government and 

private industry underscore the importance 

of securing sensitive data, and clearly 

demonstrate that the AOC is also vulnerable. 

Sophisticated attacks can result in 

significant releases of information and 

potential damage to the AOC’s IT

infrastructure, as well as the security of the 

Capitol campus. 

To this end, the OIG has noted ongoing 

policy gaps allowing for the use of personal

social media and other application on 

government-issued devices, thus potentially 

providing opportunity to breach networks. 

To this end, the AOC should strengthen its 

de Minimis use policies and consider

updates to affected orders. 

In an era of ever-increasing cyber threats, 

the major challenges the AOC faces are the 

effective application of security policies and 

practices and the implementation of cyber 

security. The AOC must continue to 

emphasize protection of its own data and IT

systems while marshaling the necessary 

resources and tools to protect privacy and 

defend AOC IT systems from intrusion, 

attacks and unauthorized access for the 

foreseeable future.

4) WHISTLEBLOWER PROTECTIONS 

New, Renewed, or Closed for FY 2021 

Years included: 2017-2021 

Key OIG Resources: 

• See Office of Congressional Workplace Rights Recommendations for Improvements to 

the Congressional Accountability Act

Why This Is a Challenge:

Our independent hotline continues to be our

greatest source of tips and complaints 

regarding fraud, waste and abuse within 

AOC programs and operations. We continue 

to treat all allegations with the utmost 

concern and consideration. We also continue 

to treat all complainants with the utmost 

respect and give their claims full 

consideration. We emphasize that they need 

not fear that the OIG will release their 

identity without their permission.

We continue to receive complaints from 

persons who wish to remain confidential due 

to their fear of repercussions for reporting 

concerns. While it is encouraging to see a

willingness to report fraud, waste and abuse, 

AOC leadership has the responsibility to 

ensure employee confidence in reporting 

programs. Likewise, AOC leadership has a 

responsibility to provide a safe work 

environment free from reprisals against 

those who do report. In order to do this, the 

AOC should reward integrity and emphasize 

to management that employees who “see 

something and say something” are not

subject to reprisal. 

The Inspector General’s Statement of 

Management Opportunities and Performance Challenges (continued)
Other Information | SECTION 04 145

Employees should not be in fear of 

retribution or retaliation after reporting a 

crime or violation to the OIG or their own 

management. A single instance of reprisal 

could cause a chilling effect on the reporting

of information. 

We recognize that legislation is required to

fully address this issue for the Legislative 

Branch as a whole and that the AOC does 

maintain a policy guarding against 

retaliation. However, the AOC may consider

strengthening its policies and/or working 

with Congress to include full whistleblower 

protections. 

5) BALANCING SAFETY, SECURITY & PRESERVATION

New, Renewed, or Closed for FY 2021 

Years included: 2019-2021 

Key OIG Resources: 

• Flash Report Series – Independent Assessment of the Architect of the Capitol’s Role in 

Securing the Capitol Campus for Large Public Gatherings (OIG-AUD-2021-03)

• Flash Report Series – Architect of the Capitol’s Emergency Preparedness Ahead of the 

January 6, 2021 U.S. Capitol Event (2021-0002-IE-P)

• Evaluation of the Architect of the Capitol’s Emergency Preparedness Posture (2020-

0002-IE-P)

Why This Is a Challenge:

The AOC’s mission of “Serve, Preserve, 

Inspire” recognizes the desire that all 

construction and renewal projects maintain 

the historical heritage of the Capitol campus. 

This is done, in part, through the use of

historically accurate, custom-designed and 

manufactured pieces such as plasterwork 

and moldings, security bollards and 

barricades, security systems and devices, 

and ironwork which can add substantial cost 

and time to these projects. For example, 

some security projects or project 

components could include modified 

commercial-off-the-shelf solutions versus 

specific, engineered or tailored elements. 

Projects of this nature should give due

consideration of alternatives to include 

materials and designs used while accounting 

for planning and cost schedules that 

maintain the balance between safety and 

security risks in addition to vulnerabilities 

with preservation and heritage.

Emergency preparedness is also a key 

component of balancing safety and security 

with preservation and heritage. The events at 

the U.S. Capitol on January 6, 2021, and 

other persistent threats against the Capitol 

campus, highlight the need for sustained 

emergency preparedness. It is critical to 

ensure that AOC employees, contractors and 

visitors know their roles and responsibilities

during an emergency. Additionally, recent

OIG reports have identified deferred 

security-related maintenance issues that 

should be addressed to promote effective 

and efficient safety and security across the 

Capitol campus. The AOC should consider

dialog with other Capitol campus 

stakeholders to develop a comprehensive 

antiterrorism/force protection program. 

The Inspector General’s Statement of 

Management Opportunities and Performance Challenges (continued)
146 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

6) WORKING CAPITAL FUND

New, Renewed, or Closed for FY 2021 

Years included: 2019-2021 

Key OIG Resources: 

• Evaluation of the Architect of the Capitol’s Fleet Management Program (2021-0001-

IE-P)

Why This Is a Challenge:

The management of large construction 

projects and other programs that cross 

multiple funding streams pose challenges

and risks to the AOC that are not typical to 

other agencies. Though adequate planning 

and design can mitigate some of these 

challenges, unforeseen circumstances can 

increase the risks and vulnerabilities to the 

AOC. To offset these risks, the AOC 

establishes program operating practices and 

procedures, with some overarching across 

the agency and many, specific to the 

jurisdiction. There are many integral AOC 

jurisdictional redundancies due to the lack of 

a working capital fund. This issue creates

inefficiencies, waste, and duplication of 

effort that could be mitigated through 

centralization efforts.

7) WASTE & ACCOUNTABILITY (combined) 

New, Renewed, or Closed for FY 2021 

Years included: 2018-2021 

Key OIG Resources: 

• Audit of the Architect of the Capitol’s Unliquidated Obligations (OIG-AUD-2021-06) 

• Suspected Violations of the Architect of the Capitol (AOC) Administrative Leave Uses

and Update to the Administration of Leave During COVID-19; Suspected Violation of 

the AOC Standards of Conduct Policy (2021-0015-INVI-P)

• Suspected Violations of the Architect of the Capitol (AOC) “Standards of Conduct” 

and “Authority and Responsibilities of the Office of Inspector General and 

Cooperation of AOC Employees” Policies (2021-0014-INVI-P)

• Theft of AOC Property (2021-0012-INVI-P)

• Supervisory Employee 1: Suspected Violations of the Architect of the Capitol (AOC) 

“Standards of Conduct” and “Information Technology (IT) Resources and De Minimis 

Use” Policies and the “Information Technology Division Rules of Behavior” Policies. 

Supervisory Employee 2: Suspected Violations of the AOC “Standards of Conduct” 

and “IT Resources and De Minimis Use” Policies (2021-0005-INVI-P)

• Suspected Violations of the Architect of the Capitol (AOC) “Standards of Conduct” 

and “Information Technology (IT) Resources and De Minimis Use” Policies and the 

The Inspector General’s Statement of 

Management Opportunities and Performance Challenges (continued)
Other Information | SECTION 04 147

“Information Technology Division Rules of Behavior” (2021-0004-INVI-P)

• Missing Laptop Computers (2021-0003-INVI-P)

• Evaluation of the Architect of the Capitol’s Inventory Accountability and Controls

(2018-0002-IE-P)

Why This Is a Challenge:

In our FY 2014 Statement, we reported 

significant risks regarding the accountability 

of government property valued at under

$1,500, particularly risks related to easily 

pilfered items such as hand and power tools 

and IT equipment. We noted that although 

the AOC had developed improved property 

controls and published a new Personal 

Property Manual for the accountability of 

government property valued at over $1,500, 

these items were still subject to insufficient 

inventory or property accountability 

controls. Further, we also identified serious 

concerns with the appropriate disposition of 

surplus property. 

In our FY 2015 Statement, we closed both 

of these components citing the

improvements made to the AOC’s internal 

control processes and guidance documents, 

although, at that time, we also stated that we 

would continue to monitor the AOC’s

progress in controlling risks associated with 

hand and power tools. In the past few years, 

these concerns have reemerged as evidenced 

by evaluation and investigations efforts 

related to IT inventory issues and reports of 

missing equipment. Although the AOC’s

efforts to improve inventory and internal

control processes are laudable, we again 

raise this issue for needed improvement. 

In the course of our work during this and 

previous FYs, the OIG has identified 

ambiguous language and directives in AOC 

orders and policies. The ambiguities reflect 

a vague definition of waste, a lack of welldefined or required roles and 

responsibilities, and inconsistent record 

keeping practices. The AOC orders and 

policies also lack comprehensive 

accountability standards pertaining to the 

wasteful use of government resources. In 

multiple instances, the OIG has identified 

substantiated cases of wasteful actions and 

behaviors that occur without the appropriate 

consequence according to AOC policy. 

The OIG has regularly observed 

inconsistencies in holding staff accountable 

for their actions that have the potential to 

create an agency culture where recurrent 

instances of waste of government resources 

could become commonplace. Some recent 

examples the OIG has encountered include 

actions that have gone without consequence

such as the expenditure of end-of-year funds 

on unnecessary or unusable supplies that do 

not meet office requirements and ordering 

equipment when a contract is already in 

place for that equipment instead of 

renegotiating the original contract. These 

examples give the appearance of 

unnecessary stock piling, hoarding and 

waste, and positions the AOC for increased 

risk and financial loss if not properly 

addressed through policy, internal controls 

and setting the tone at the top with AOC 

senior leaders acknowledging and 

addressing waste.

To this end, the OIG has identified nearly 

The Inspector General’s Statement of 

Management Opportunities and Performance Challenges (continued)
148 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

one million dollars in finance-related 

findings in questioned costs or funds put to 

better use with some issues dating back over 

a decade as highlighted within the 

unliquidated obligations audit. 

In our FY 2020 Statement, we noted that the 

AOC did not routinely hold employees

accountable for waste and we continue to 

note this as a challenge. Multiple OIG

investigations have revealed that the AOC

does not always properly document

employee infractions, which results in issues 

with human resources retention and 

increases the opportunity for fraud by 

creating a perception of allowability. 

CONCLUSION

All federal agencies have areas in which 

improvements are needed. This Statement, is 

written from the OIG’s perspective and 

should be taken in that context. The AOC 

has much to be proud of as it has worked to 

reduce or eliminate elements of the previous 

years’ challenges. The progress made on 

these opportunities is very encouraging and 

the management challenges included above 

will serve to improve the AOC’s efforts to 

prevent and detect fraud, waste and abuse, 

as well as improve the effectiveness and 

efficiency of its programs and operations. 

As the OIG finds additional, specific 

challenges, we will inform management 

with findings and recommendations via 

audits, inspections and evaluations, 

investigations, and management advisories. 

The intent of these findings and 

recommendations is to improve the AOC’s

operations to meet its overall mission to

“Serve, Preserve and Inspire” and to support

the AOC by decreasing the potential for 

fraud, waste, abuse and mismanagement. 

The Inspector General’s Statement of 

Management Opportunities and Performance Challenges (continued)
Other Information | SECTION 04 149

Summary of Financial Statement Audit and 

Management Assurances

The AOC tracks audit material weaknesses, as well as other requirements of the Federal Managers’ Financial Integrity Act of 1982 (FMFIA). Tables 20 

and 21 below present management’s summary of these matters, as required by OMB Circular A-136, Financial Reporting Requirements, revised.

TABLE 20

Summary of Financial Statement Audit

AUDIT OPINION TYPE Unmodified

RESTATEMENT (YES/NO) No

MATERIAL WEAKNESSES BEGINNING BALANCE NEW RESOLVED CONSOLIDATED/

REASSESSED ENDING BALANCE

Control Gap Identified for Respective Reviews 

of Estimates 0 1 0 0 1

Total Material Weaknesses 0 1 0 0 1

TABLE 21

Summary of Management Assurances

EFFECTIVENESS OF INTERNAL CONTROL OVER FINANCIAL REPORTING (FMFIA, PARA. 2)

STATEMENT OF ASSURANCE Unmodified

MATERIAL WEAKNESSES BEGINNING BALANCE NEW RESOLVED CONSOLIDATED/

REASSESSED ENDING BALANCE

Control Gap Identified for Respective Reviews 

of Estimates 0 1 0 0 1

Total Material Weaknesses 0 1 0 0 1

EFFECTIVENESS OF INTERNAL CONTROL OVER OPERATIONS (FMFIA, PARA. 2)

STATEMENT OF ASSURANCE Unmodified

MATERIAL WEAKNESSES BEGINNING BALANCE NEW RESOLVED CONSOLIDATED/

REASSESSED ENDING BALANCE

0 0 0 0 0

Total Material Weaknesses 0 0 0 0 0

COMPLIANCE WITH FEDERAL FINANCIAL MANAGEMENT SYSTEM REQUIREMENTS (FMFIA, PARA. 4)

STATEMENT OF ASSURANCE Federal systems comply to financial system management requirements

NONCONFORMANCES BEGINNING BALANCE NEW RESOLVED CONSOLIDATED/

REASSESSED ENDING BALANCE

0 0 0 0 0

Total Nonconformances 0 0 0 0 0

COMPLIANCE WITH FEDERAL FINANCIAL MANAGEMENT IMPROVEMENT ACT (FFMIA)

NONCONFORMANCES AGENCY AUDITOR

1. System Requirements No lack of compliance noted No lack of compliance noted

2. Accounting Standards No lack of compliance noted No lack of compliance noted

3. USSGL at Transaction Level No lack of compliance noted No lack of compliance noted
150 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Payment Integrity

Improper Payments

The Payment Integrity Information Act of 2019 (PIIA) requires federal 

agencies to reduce improper and erroneous payments. OMB 

Circular A-123, Appendix C, Requirements for Payment Integrity 

Improvement, also provides improper payment reporting guidance. 

Detailed information on improper payments for the U.S. government 

is available online at www.paymentaccuracy.gov. The AOC’s data 

is not included on this website as the agency does not have any 

programs that were designated by the OMB as high priority. As 

a legislative branch agency, the AOC is not subject to PIIA, nor to 

the related OMB guidance, and does not have a formal improper 

payments program. Therefore, the AOC does not provide payment 

accuracy data to the OMB for display on its website. Nonetheless, 

as part of its internal control and risk assessment program, the AOC 

has an internal control plan in place to monitor payment accuracy. 

As part of this effort, the AOC refers to PIIA and OMB Circular A-123, 

Appendix C for guidance. 

By agency policy, the AOC conducts quarterly financial reviews 

(QFR) of its jurisdiction-level program obligations and spending. 

These reviews have improved the reliability of the AOC’s financial 

statements and budget execution reports. The AOC’s Chief 

Financial Officer manages the reviews and uses them to identify 

inaccurate payments and determine the effectiveness of controls 

over obligation and payment processes. This fiscal year, the AOC 

continued its modification of the QFR process to specifically address 

the untimely de-obligation of unliquidated obligations. The AOC 

developed and implemented a new application, as well as provided 

related policy guidance and training, to automate the validation of 

open obligations. 

The AOC does not administer programs for grants, benefits or loans. 

The AOC’s most significant expenses are payroll and benefits for 

its employees, which are administered by the U.S. Department of 

Agriculture’s shared service provider, the National Finance Center. 

The AOC’s most substantial nonpayroll expenses are its payments 

to vendors for construction efforts, professional services and 

goods procured during the course of normal operations. More 

information on the AOC’s monitoring efforts is included in Section 

01: Management’s Discussion and Analysis under Management 

Assurances and Other Financial Compliances. 

Do Not Pay Initiative 

Treasury’s Do Not Pay Initiative provides resources for agencies 

to review payment eligibility for purposes of identifying and 

preventing improper payments to vendors. The AOC uses Treasury’s 

IPP, a secure online platform, to centralize its invoice payment 

process. The IPP partners with Treasury’s Do Not Pay business center 

to help prevent and reduce improper payments in a cost-effective 

manner. As such, through its IPP deployment, the AOC improves its 

payment accuracy with the Do Not Pay Initiative. 

Grants Oversight and New Efficiency Act 

The Grants Oversight and New Efficiency Act requires all federal 

agencies to report a listing of federal grants awarded and the 

closeout status of each awarded grant. The AOC does not administer 

any federal grant programs. 
Other Information | SECTION 04 151

The AOC cares for more than 18.4 million square feet of facility space. This includes a variety of real property that reflects the agency’s wide-ranging mission, such as: 

congressional committee rooms, legislative chambers, a botanic conservatory, a power plant and utility tunnels, a visitor center and office facilities.

Real Property Capital Planning

The OMB provides guidance on federal real property reporting. The 

updated guidelines for FY 2021 removed the report requirement 

for those agencies that provide an annual document describing 

their real property portfolio to the Federal Real Property Council. 

However, as a legislative branch agency, the AOC does not submit 

its real property information to the council. As a result, the AOC 

continues to deliver its real property portfolio information as part of 

its annual Performance and Accountability Report.

The AOC’s mission includes the responsibility for a unique real estate 

portfolio. As a best practice and in the interest of transparency, 

the AOC presents its total managed square footage for the current 

fiscal year as compared to the FY 2015 baseline in Table 22. The 

total square footage reported includes all real property under the 

AOC’s care. In addition to office and inventory storage facilities, 

the real property portfolio includes a variety of property that is 

distinct to the AOC and its wide-ranging mission: congressional 

committee rooms, legislative chambers, a court chamber, exhibition 

space, a botanic conservatory, plant production facilities, a visitor 

center, gift shops, restaurants, a power plant, utility tunnels, book 

storage modules and other sites. As shown, the total square footage 

increased over the FY 2015 baseline. This is primarily due to the 2017 

transfer of the O’Neill House Office Building to the AOC’s portfolio 

from the GSA. This space supports the U.S. House of Representatives 

and serves as swing space during the Cannon Renewal.

As the AOC’s real property needs are mission-driven, its footprint 

has increased to meet the needs of its congressional stakeholders 

and those who work within and visit the Capitol campus. The agency 

is committed to using its facilities as efficiently as possible. This 

includes workplace strategies such as supporting the maximum 

use of telework. To reduce the operations and maintenance costs 

associated with its real property portfolio, the AOC implemented a 

number of efficiency improvements. The improvements included 

enhancing building system controls and performance monitoring 

capabilities to reduce energy and water usage, implementing 

cogeneration technology at the Capitol Power Plant, and using 

ESPCs to fund energy savings improvements on the Capitol campus.

TABLE 22

Real Property Baseline Comparison

FY 2015 BASELINE (ROUNDED) FY 2021 (ROUNDED) CHANGE FROM BASELINE (INCREASE/DECREASE)

Total Square Footage (in Millions) More than 17.4 More than 18.4 Increase by 1.0
152 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Energy and Sustainability Program Management Report 

As steward of the Capitol campus and its off-site facilities, the AOC 

is required to meet annual reductions in energy consumption 

under the Energy Policy Act of 2005 and the Energy Independence and 

Security Act of 2007. This report was created to inform Congress and 

the public of the AOC’s progress on meeting its efficiency goals as 

well as its future commitments to sustainability and water efficiency. 

It includes details on the AOC’s energy expenditures and savings 

estimates, energy management and conservation projects, and 

future priorities.

FY 2021 was a challenging but rewarding year for the AOC’s energy 

and sustainability efforts. The AOC is five years into its ambitious 

performance requirements and trending close to its FY 2025 key 

energy reduction goal. As shown in Figure 49, the AOC reduced 

energy consumption by 48.8 percent from its FY 2003 baseline. 

Substantial decreases in energy usage in FY 2018 resulted from 

operational efficiencies at the Cogeneration Plant. The decrease in 

FY 2020 was a result of reduction of on-site employees during the 

COVID-19 pandemic. The AOC sustainability strategy focuses on 

energy, water, high-performance buildings and sustainable waste 

management. In FY 2021, the AOC:

 Achieved energy reduction progress of approximately 49 percent, 

despite significant increases in energy consumption due to 

enhanced air quality and ventilation rates

 Initiated retro-commissioning efforts in the Rayburn and Longworth 

House Office Buildings, the CVC, and the Russell and Dirksen Senate 

Office Buildings to enhance energy efficient operations

 Initiated planning efforts for an ESPC for AOC buildings that 

will install LED lighting upgrades and solar photovoltaic 

systems, providing an estimated 2.5 million kWh of on-site solar 

renewable energy annually

 Continued the Critical Campus Power Study to provide resilience 

to Capitol campus buildings in the event of utility system issues

 Performed energy audits at the U.S. Capitol and the USBG 

Conservatory; the audits highlight focus areas for potential 

improvements and investments to enhance energy efficient 

operations

 Developed a new career ladder position that will fill a critical 

skill gap for technicians capable of using advanced automated 

building control systems to increase efficiency and provide a 

more comfortable working environment 

 Reduced greenhouse gas emissions by 43 percent from the 

FY 2008 baseline, exceeding the FY 2021 reduction goal of 

35 percent

Energy Expenditures and Savings Estimates

The agency’s implementation of multiple ESPCs, a utility energy 

service contract (UESC), and other infrastructure investments 

have saved the AOC more than $200 million in cost avoidance 

and reduced the agency’s long-term energy demand. From FY 

2015 to FY 2021, the AOC voluntarily continued its partnership 

with stakeholders to manage one of the federal government’s 

most effective energy and sustainability programs. In FY 2021, the 

most impactful energy savings efforts included infrastructure and 

performance improvements. As detailed in Table 23, the AOC used 

approximately $2.2 million in direct appropriations toward efficiency 

improvements at the Capitol Power Plant and performance 

improvements such as building automation and lighting upgrades. 

Furthermore, the ESPCs implemented at the U.S. Capitol Building 

and the House and Senate office buildings during previous years 

continue to generate savings. In FY 2021, the ESPC for the Library of 

Congress buildings began generating energy savings as significant 

lighting and mechanical work was completed.

In FY 2021, AOC electricians converted the lighting fixtures from fluorescent to energy-efficient LED lighting in the halls of the Rayburn House Office Building.
Other Information | SECTION 04 153

Energy Management and 

Conservation Projects

The AOC’s four principal program areas are to reduce resource 

risks through agile fiscal and resource management, transform the 

AOC’s energy culture, protect and reinvest in the environment, and 

minimize the agency’s total life-cycle ownership costs of its facilities. 

The AOC promotes energy, water and sustainability initiatives, with 

a focus on performance metrics, metering, commissioning, building 

automation, recycling and integrated design. The agency’s FY 2021 

targets included:

 42 percent energy reduction (from FY 2003 baseline); goal met 

 35 percent greenhouse gas emissions reduction; goal met 

 28 percent water use reduction (from FY 2008 baseline); goal met 

 50 percent diversion of building occupant waste; goal not met 

 90 percent diversion of construction and demolition debris; 

goal met 

 8 percent of waste compostable by the end of FY 2021; goal met 

 Enhanced energy and sustainability communications toward 

improved conservation, sustainable practices, and health and 

wellness 

Improving energy and sustainability performance provides:

 Financial benefits from reduced operating costs 

 Customer service payoffs from increased client satisfaction and 

improved reputation 

 Agency payoffs from reduced staff risks and increased 

satisfaction

In FY 2021, the AOC:

 Employed cost-effective strategies to meet sustainability 

targets: The agency focused attention on building energy 

performance plans, energy audits, sustainability scorecards and 

sharing best practices across jurisdictions to reduce operating 

costs and conserve resources. 

 Used public-private partnerships: Several major energy and 

sustainability improvements at the AOC have been funded 

through public-private partnerships, such as multiple ESPCs 

and a UESC (in total $200 million has been invested in energy 

improvements financed by energy savings). 

 Implemented “Gold Days”: The AOC focused on peak electricity 

grid consumption days to lower a significant component of our 

electricity utility rate. This was supported by a robust lighting 

program focused on using LED and lighting control technology. 

 Continued retro-commissioning: The AOC employed 

retro-commissioning to address malfunctioning equipment, 

automation and control logic deviations.

 Improved water efficiency: The AOC implemented strategies 

for improved water efficiency include the installation of droughttolerant native landscaping, efficient irrigation and aggressive 

monitoring to find and repair water leaks.

Future Priorities to Ensure Compliance 

The AOC will continue to identify cost-effective opportunities 

to improve energy and water performance, reliability and 

environmental conditions in its buildings. In FY 2021, building 

ventilation systems continued to operate with extended schedules 

and enhanced filtration in response to the COVID-19 pandemic. 

This type of operation significantly added to the AOC’s energy 

consumption but is expected to be a temporary increase until such 

time that buildings can return to normal operations. Projects such 

as the Library of Congress ESPC, Cannon Renewal and building 

retro-commissioning will ensure that the AOC maintains high 

levels of energy reduction. The cornerstones of the energy and 

sustainability program are to maintain and optimize existing 

building performance through operational improvements and 

control strategies, to make incremental improvements through 

small-scale retrofits and equipment replacements, to continue 

long-term and interim building performance metrics and track them 

through metering and data analytics, and to ensure operations and 

maintenance staff receive appropriate training. The Enterprise Asset 

Management strategic initiative will support energy conservation 

efforts by bringing together energy consumption and performance 

data within an enterprise level asset management system.

TABLE 23

FY 2021 Investments in Energy and Water Management

SOURCES OF INVESTMENT DIRECT APPROPRIATIONS FY 2021 ANNUAL GOAL-SUBJECT ENERGY SAVINGS (MMBTU)

Energy and Sustainability Program Expenditures $2,174,000 (59,858)

 ESPC/UESC EXPENDITURES FY 2021 ANNUAL PAYMENTS GUARANTEED ANNUAL

COST SAVINGS

 FINAL PAYMENT

House Office Buildings ESPC $4,546,207 $4,577,167 FY 2027

Senate Office Buildings ESPC $4,534,703 $4,534,803 FY 2027

U.S. Capitol Building ESPC $2,327,291 $2,327,292 FY 2022

Capitol Power Plant Cogeneration UESC $3,026,420 $3,026,420 FY 2037

Library Buildings and Grounds ESPC $1,486,238 $1,486,238 FY 2039

Total $15,920,859 $15,951,920

Note: Table includes corrections for calculation errors, excess project energy, baselining new buildings and the cogeneration site versus source credit. Annual consumption and cost 

figures do not reflect final FY 2021 expenditures. Energy savings are measured in metric million British thermal units (MMBTU), the measure of energy content in fuel.
154 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Data Tables 

The data tables (Tables 24, 25 and 26) provide a summary of the AOC’s progress in meeting its requirements under the Energy Policy Act of 2005 

and the Energy Independence and Security Act of 2007 (EISA2007). The data presented in these tables include corrections for calculation errors, 

excess project energy, baselining new buildings and the cogeneration site versus source credit. Annual consumption and cost figures do not 

reflect final FY 2021 expenditures.

FIGURE 49

The AOC's Energy Reduction Commitments and Results

 

 

TABLE 24

Energy Policy Act of 2005 Goal Subject Buildings

 UTILITY TYPE

CONSUMPTION

UNITS

ANNUAL 

CONSUMPTION

ANNUAL COST

($ IN THOUSANDS)

UNIT COST 

($)

UNIT OF

MEASURE

SITE

DELIVERED 

BBTU

ESTIMATED 

SOURCE BBTU

Electric MWh 166,565.9 $16,214.6 $0.10 /kWh 568.3 1,784.5 

Fuel Oil KGal 278.1 $240.5 $0.86 /Gallon 38.9 38.9 

Natural Gas KCF 1,352,366.1 $8,915.6 $6.59 /KCF 1,352.3 1,419.9 

Coal Short Ton 0.0 $0.0 $0.00 /Short Ton 0.0 0.0 

Purchased Steam BBTU 21.7 $104.8 $4.84 /MMBTU 21.7 48.2 

Site/Source Credit* BBTU (460.5) /MMBTU (460.5)

Excluded Steam BBTU (146.7) ($6,416.2) $43.73 /MMBTU (146.7) (209.6)

Excluded CHW BBTU (19.6) ($538.0) $27.41 /MMBTU (19.6) (24.9)

Excluded Security BBTU (25.6) ($447.1) $17.46 /MMBTU (25.6) (80.4)

PURCHASED RENEWABLE

Electric MWh 32,585.0 $3,341.4 $0.10 /kWh 111.2 0.0 

Other BBTU /MMBTU

Totals BBTU 1,440.0 $21,415.7 1,440.0 2,976.6 

FY 2021 Goal Subject Buildings 

Gross Square Feet (Thousands) 16,850.0 FY 2021 Goal Subject Buildings 

Actual KBTU/GSF 85.5 176.7 

KEY FOR ENERGY TABLES:

BBTU Billion British Thermal Units

CHW Chilled Water

GSF Gross Square Feet

KBTU Thousand British Thermal Units

KCF Thousand Cubic Feet

KGal Kilogallons

kWh Kilowatt Hours

MMBTU Metric Million British Thermal Units

MWh Megawatt Hours

Short Ton A unit of weight equal to 2,000 pounds

*Site/Source credit accounts for displaced grid electricity per U.S. Department of Energy (DOE) guidance.
Other Information | SECTION 04 155

TABLE 26

Goal Performance

ENERGY MANAGEMENT REQUIREMENT

FY 2003

KBTU/GSF FY 2021 KBTU/GSF

PERCENT CHANGE

FY 2003–FY 2021 FY 2021 GOAL TARGET

Reduction in Energy Intensity in 

Facilities Subject to EPAct Goals 166.930 85.461 (48.8)% (42.0)%

RENEWABLE ENERGY REQUIREMENT

RENEWABLE 

ELECTRICITY USE 

(MWH) TOTAL ELECTRICITY USE (MWH) PERCENTAGE

Eligible Renewable Electricity Use as a 

Percentage of Total Electricity Use 32,585 237,338 13.7%

WATER INTENSITY REDUCTION GOAL

FY 2007

GALLONS/GSF FY 2021 GALLON/GSF

PERCENT CHANGE

FY 2007–FY 2021 FY 2021 GOAL TARGET 

Reduction in Potable Water 

Consumption Intensity 28.2 13.1 53.5% 28.0%

SUSTAINABLE WASTE MANAGEMENT PERFORMANCE 

METRIC FY2016 GOAL FY2016 ACTUAL FY2021 GOAL FY2021 ACTUAL

Divert Building Occupant Waste Waste Diverted/ 

Total Occupant Waste 40.0% 44.0% 50.0% 34.0%

Reduce, Reuse and Recycle Construction and 

Demolition Debris

Waste Diverted/ 

Total Construction 

Waste

80.0% 90.0% 90.0% 92.0%

Compost Nonconstruction Waste Waste Diverted/ 

Total Occupant Waste N/A N/A 10.0% 10.0%

TABLE 25

Energy Policy Act of 2005 Goal Excluded Buildings

 UTILITY TYPE

CONSUMPTION

UNITS

ANNUAL 

CONSUMPTION

ANNUAL COST

($ IN 

THOUSANDS) UNIT COST ($)

UNIT OF

MEASURE

SITE-DELIVERED 

BBTU

ESTIMATED 

SOURCE BBTU

Electric MWh 38,186.9 $3,904.0 $0.10 /kWh 130.3 409.1 

Fuel Oil KGal 313.1 $777.0 $2.48 /Gallon 43.8 43.8 

Natural Gas KCF 24,343.4 $220.0 $0.01 /KCF 24.3 25.6 

Coal Short Ton /Short Ton 

Purchased Steam BBTU /MMBTU 

Excluded Steam BBTU 146.7 $6,416.2 $43.73 /MMBTU 146.7 209.6 

Excluded CHW BBTU 19.6 $538.0 $27.41 /MMBTU 19.6 24.9 

Excluded Security BBTU 25.6 $447.1 $17.46 /MMBTU 25.6 80.4 

Purchased Renewable

Electric MWh 

Other BBTU 

Totals BBTU 390.4 $12,302.1 390.4 793.4 

FY 2021 Goal Excluded Buildings 

Gross Square Feet (Thousands) 1,083.3 FY 2021 Goal Excluded Buildings Actual KBTU/GSF 207.5 421.7 

COGENERATION OPERATIONAL PERIOD OPERATIONAL DAYS

SITE VS. SOURCE CREDIT 

(BBTU) TOTAL MWh PRODUCED

Capitol Power Plant 

Combined Heat and Power

Oct 2020 

thru Sep 2021 319 460.5 57,681.8 

OTHER ENERGY AND WATER INFORMATION

UTILITY METERING

NUMBER OF BUILDINGS 

METERED METERED AREA (GSF)

PERCENT OF BUILDINGS 

METERED

PERCENTAGE OF AOC

ADVANCED METERING

Electric 79 21,373,419 100% 90%

Steam 27 19,514,362 99% 99%

Natural Gas 22 1,768,311 100% 0%

Chilled Water 25 16,251,351 99% 99%

Potable Water 29 buildings

8 other 17,381,130 99% with meters 

66% estimated 65%

Note: Tables 24–26 are issued with data as of November 4, 2021.
156 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Small Business Accomplishments Report

As a best practice, the AOC voluntarily reports the agency’s 

performance against its small business procurement goals. The 

AOC procurement authority is separate from the Competition in 

Contracting Act and other laws affecting the executive branch, 

and the AOC is not authorized by law to use the Small Business 

Act for set-aside programs or subcontracting plans. However, the 

AOC’s procurement authority does provide discretion in the level 

of competition required when using small purchase procedures 

for open market purchases. To encourage more opportunities for 

the small business community, the AOC created a small business 

subcontracting program and a small business set-aside program for 

purchases of $250,000 or less. The agency also works collaboratively 

with the U.S. Small Business Administration to implement and 

operate small business programs at the AOC.

The AOC established socioeconomic goals through its small 

business programs for prime contract awards to small businesses, 

small disadvantaged businesses, women-owned small businesses, 

veteran-owned small businesses, service-disabled veteranowned small businesses and Historically Underutilized Business 

Zone (HUBZone) small-business concerns. In FY 2021, as shown 

in Table 27, the AOC established a goal to place 65 percent of 

all agency contract awards with small businesses. The targeted 

percentage of contract awards for various small business 

subcategories is also shown. The AOC exceeded the goal targets 

for every small business category in its small business program. 

This was achieved through increased visibility in the small business 

community, consultations with small-business concerns seeking 

information regarding the AOC’s procurements, ongoing data 

collection efforts on the types of businesses used by the AOC and 

actively seeking small-business concerns for small purchases.

In FY 2021, the AOC achieved its target to place 65 percent of all awarded contracts with small businesses.

TABLE 27

Small Business Accomplishments, For the Year Ending September 30, 2021

CATEGORY GOAL ACHIEVEMENTS* GOAL MET?

Small Business 65.0% 78.4% Yes

Small Disadvantaged Business 8.0% 19.5% Yes

Women-Owned Small Business 11.0% 14.5% Yes

Veteran-Owned Small Business 4.0% 6.2% Yes

Service-Disabled Veteran-Owned Small Business 1.0% 3.0% Yes

HUBZone Small Business 1.0% 3.0% Yes

*Contract awards may fall under more than one category.
Other Information | SECTION 04 157

Human Capital Management Report 

The Architect of the Capitol Human Resources Act, 2 U.S.C. § 1831 (HR 

Act) requires the AOC to evaluate its personnel management system 

for compliance with the HR Act and all other relevant laws, rules and 

regulations. The AOC provides the results of this evaluation on an 

annual basis to the speaker of the house, the House Office Building 

Commission, the Senate Committee on Rules and Administration, 

and the Joint Committee of Congress on the Library. The AOC’s 

personnel management system includes: 

 Fair employment system 

 Equal employment opportunity (EEO)/affirmative action 

programs 

 Classification of positions 

 Employee training and development 

 Performance appraisal system 

 Fair and equitable system to address misconduct and 

performance 

 Employee Assistance Program 

 Absence and leave 

Fair Employment System

The HR Act requires the AOC to have a human resources system 

that ensures the agency appoints, promotes and assigns employees 

and applicants for employment based on merit and fitness, 

following the fair and equitable consideration of all candidates 

through open competition. The AOC promotes fairness in hiring 

and promotion actions through policies and procedures that 

ensure equal employment opportunity to achieve a diverse 

workforce. Selection and advancement are determined based on 

operational requirements and the knowledge, skills and abilities of 

the candidates. The AOC’s Order 335, Career Staffing Plan, provides 

uniformity in conducting and documenting the recruitment and 

hiring process. This policy supports the AOC’s mission and functions 

consistent with best practices in the federal government and the 

private sector.

PROGRAM H IGHLIGHTS

Career Staffing Plan Revisions. The AOC issued key revisions to its

existing Career Staffing Plan policy that enhance the AOC’s ability to 

attract and hire qualified staff, promote fairness and transparency

in hiring, empower employees with information to aid in future

interviews and enhance the agency’s image as an employer of choice.

The revisions changed the minimum education requirement for 

certain positions at the GS-14 grade level and above from requiring 

a bachelor’s degree to making one desirable,13 required selecting 

officials to provide feedback to nonselected internal candidates who

interviewed for vacancies at the AOC, reduced the timeframe for

certificate of eligible employees from 90 to 60 calendar days (while

13 The new standard does not apply for positions in which a bachelor’s degree is 

stipulated in the qualification standards issued by the U.S. Office of Personnel 

Management (OPM).

retaining the option of extending the period for up to 90 calendar 

days) and introduced a new interview panel member form that 

requires panel members to review and sign an integrity pledge for 

each vacancy before the interview and selection process. 

Online Onboarding Module. To modernize and enhance the 

welcome experience for new hires, the AOC deployed an online 

onboarding module that provides a remote and structured solution 

for administrative activities. This module provides the AOC’s talent 

acquisition team the ability to communicate electronically with 

candidates, selecting officials and others involved in the hiring 

process. The module also is capable of sending offer letters and new 

hire forms and storing relevant documents. New hires can review offer 

letters, communicate position acceptance and electronically complete 

benefits and payroll forms before on-site onboarding sessions.

Strategic Talent Acquisition. To attract and retain talent in FY 2021, 

the AOC participated in recruitment events targeting skilled trades, 

veterans, professional associations and university and community 

college populations. After cancelling the program in FY 2020 due to 

COVID-19, this fiscal year the AOC restarted its summer internship 

program to recruit aspiring young talent. The AOC also leveraged 

recruitment incentives and negotiated salaries to attract soughtafter job candidates and remain competitive with the private 

industry. Further, the AOC continued to build and promote its 

employer brand awareness through its online and social media 

presence as an “employer of choice.”

Communities of Practice. The AOC continued to partner with 

stakeholders across the enterprise to create and employ Communities 

of Practice that support talent acquisition and development, and 

employee engagement and retention. The Community of Practice 

concept benefits the agency by developing innovative approaches to 

acquire scarce skilled trades expertise, support succession planning 

efforts, shape training plans, foster knowledge sharing, engage 

in continuous learning activities and positively impact employee 

retention and engagement. It allows AOC employees opportunities 

to network with other colleagues by sharing lessons learned and 

collaborating to solve work-related problems. 

Equal Employment Opportunity/Affirmative 

Action Programs 

The HR Act requires the AOC to have an EEO program that includes 

an affirmative employment program (AEP) for employees and 

applicants. The HR Act also requires that the AOC have procedures 

for monitoring its progress in ensuring a diverse workforce. 

The AOC’s Diversity, Inclusion and Dispute Resolution (DI/DR) 

office carries out the agency’s EEO program, outlined in Policy 

Memorandum 24-3, Equal Employment Opportunity. The AOC hires 

and advances individuals based on merit without regard to race, 

color, sex, religion, age, national origin, sexual orientation, gender 

identity, genetic information or disability. The DI/DR office monitors 

employment data to promote affirmative employment, assists 

employees in addressing and resolving concerns, and upholds the 

AOC’s commitment to a diverse and respectful work environment 

free of harassment, discrimination and retaliation. The DI/DR office 
158 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

also promotes full access and integration of qualified individuals 

with disabilities into the workforce through the AOC’s Reasonable 

Accommodation Program. The director of DI/DR office reports 

directly to the agency’s Chief Administrative Officer (CAO). 

PROGRAM HIGHLIGHTS

AOC Chooses Civility Initiative. This initiative is the cornerstone 

of the AOC’s diversity and inclusion program and is aimed at 

promoting positive and respectful behavior in the workplace. 

The initiative focuses on how employees interact with others 

and delivers civility training to senior leaders, supervisors and 

employees. It also provides toolkits to senior leaders and distributes 

program information to employees and offices across the agency. 

Prevention of Sexual Harassment Training. The AOC’s policy 

requires staff to complete annual prevention of sexual harassment 

training. This fiscal year, the AOC developed an interactive online 

course to meet these requirements. The course was expanded to 

address bystander intervention and to include learning scenarios in 

construction and industrial settings rather than office settings. The 

course also includes a component specifically for supervisors. 

Conciliation Program. The AOC Conciliation Program enables 

the investigation of allegations of discrimination and addresses 

potential violations of other employee safeguards involving family 

and medical leave, veteran and service-related employment rights, 

wage concerns and retaliation. The program offers confidential 

counseling and assistance to employees who are experiencing any 

type of workplace conflict, or who are engaged in employmentrelated disputes. In FY 2021, the program continued to accept and 

resolve employee and management concerns and complaints.

AOC’s Diversity, Inclusion and Dispute Resolution Office 

Reporting Hotline. The DI/DR office provides agency employees 

with a hotline to report any equal employment or harassment 

concerns. The service is available 24/7 and affords callers the 

opportunity to speak with a live consultant who will listen and 

notate their statement. Callers’ identification information is not 

requested, kept or reported to the agency.

Classification of Positions

The HR Act requires the AOC to have a system for the classification of 

positions that considers the difficulty, responsibility and qualification 

requirements of the work performed, and which conforms to 

the principle of equal pay for substantially equal work. The AOC 

classification system fosters internal equity for employees with 

comparable qualifications and responsibilities for their respective 

occupations. The agency uses federal guidelines for the classification 

of General Schedule and Wage Grade positions and to determine 

duties, responsibilities, qualification requirements, position titles, 

series and grade levels.14 The AOC pays prevailing rates to employees 

in recognized trades or in unskilled or skilled manual labor 

occupations, as well as work leaders or supervisors. The AOC also 

has exempt personnel positions that are Senior Rated. Employees in 

these positions serve at the pleasure of the Architect of the Capitol. 

The classification program also seeks equity with similar positions 

in the external nonfederal sector. The AOC Order 532, Pay Under 

the Architect’s Wage System, provides agency policy on position 

classifications and employee compensation determinations. Section 

01: Management’s Discussion and Analysis depicts the AOC’s 

organizational structure as well as a chart displaying the number of 

permanent employees by AOC location.

PROGRAM H IGHLIGHTS

AOC Reorganization. This fiscal year, the AOC launched an 

organizational transformation that included a Reorganization as one 

of the major initiatives. Under the Reorganization, the AOC established 

a C-suite consisting of a cadre of senior executives with agencywide 

responsibility organized by function and responsibility and authority 

to focus on operational performance, manage enterprise risk and 

maintain strong accountability. The Reorganization impacted 

nearly one-half of the workforce, and required creating, classifying 

and redescribing existing and new positions for the impacted 

organizations. This effort also included the review of more than 200 

position descriptions for Senior Rated, supervisory, nonsupervisory, 

career ladder General Schedule, single-grade General Schedule, 

Wage Grade and Architect’s Mobility Program positions. The AOC 

implemented required changes in the Human Resources Information 

System caused by the Reorganization.

Position Management Review Standard Operating Procedure. 

The AOC organizational transformation required revision of the 

approval process of position management requests. As a result, 

the AOC updated the standard operating procedures to reflect 

14 Title 5 U.S.C. § 5349 requires that rates for certain employees of the AOC be 

fixed and adjusted consistent with the public interest and in accordance with 

prevailing rates. OPM Position Classification Standards provide information on the 

occupational series, title, grade and pay system for positions performing white 

collar work in the federal government.

The AOC requires a highly skilled workforce to accomplish its mission. A 

Human Capital Strategy is being developed to attract, develop and retain 

these skilled employees at the agency. 
Other Information | SECTION 04 159

processes that align with the C-suite organizational structure. The 

revisions detail how to prepare and submit position management 

requests — for example, requests for reorganizations, desk audits, 

position reviews and new positions. These updates provide a 

consistent process across the AOC and ensures that requests are 

validated before submission for action.

Employee Training and Development 

The HR Act requires the AOC to have an employee training program 

that has among its goals improved employee performance and 

opportunities for employee advancement. The agency’s training 

and development program provides training to employees to 

develop desired behaviors, job-related knowledge, new skills 

and familiarity with industry standards. Employees receive 

training and development in accordance with the duties of their 

position, resulting in stronger technical competency and desired 

workplace behaviors. The AOC Order 410-1, Training and Employee 

Development, provides agency policy for the training and 

development of employees.

PROGRAM HIGHLIGHTS

AOC University. In FY 2021, the AOC began developing plans for 

the creation of AOC University, an Architect’s Strategic Initiative to 

provide training, education, professional development and career 

advancement opportunities to existing employees. This fiscal year, 

The AOC created a charter to define the purpose, mission and 

vision for this initiative. The charter outlined desired outcomes, 

resources, methods for communications and key personnel needed 

for implementation. This information also helped to forecast future 

financial and personnel requests. 

In addition, the AOC established a cross-functional team composed 

of employees from multiple AOC offices who bring specific 

management, technical skills and experiences relevant to the 

AOC University mission. The team members provide input on the 

framework and development of AOC University and serve as liaisons 

to their respective offices. In addition, the team members help 

shape the vision and road map, share progress updates, identify and 

mitigate risks, and address change management considerations.

Training Needs Assessment. The AOC developed and launched its 

first training needs assessment for supervisors. The survey results are 

intended to provide the AOC with an understanding of the current 

and future business needs of work teams and the knowledge and 

skills requirements for the workforce. In addition, the survey will 

help the AOC gain insight into training, education and development 

opportunities that are being used by agency staff to acquire the 

knowledge and skills needed for their jobs.

Implementation of AOC Learn. The AOC’s online learning 

management system, AOC Learn, provides users with access to 

a searchable listing of online courses with detailed descriptions 

and online registration. In FY 2021, the AOC began phase two 

of the implementation for AOC Learn, further enhancing the 

system. The enhancements modified the individualized training 

plan functionality to capture attendance at instructor-led and 

virtual instructor-led courses, in addition to the existing online 

courses. The changes also provide the capability of allowing for 

the manual assignment of training requirements based on an 

employee’s specific role and duties within the agency. In addition, 

the AOC automated the process to populate AOC Learn with the 

Cybersecurity Awareness training course from the external vendor.

Table 28 summarizes the most completed agency-sponsored 

training initiatives in FY 2021.

Performance Appraisal System 

The HR Act requires the AOC to have a formal performance 

appraisal system that will permit the accurate evaluation of job 

performance based on objective criteria for all agency employees. 

The AOC’s Performance Communication and Evaluation System 

(PCES) is based on OPM’s Performance Management System but is 

tailored to the AOC’s unique mission. The PCES links individual work 

elements to the AOC’s Strategic Plan, strengthens communication 

between supervisors and employees, improves individual and 

organizational performance, provides recognition, and rewards and 

addresses unmet performance requirements. The AOC Order 430-1, 

Performance, Communication and Evaluation System, provides the 

agency’s performance management system policy. The AOC Order 

430-2, Performance Management for Exempt Personnel, provides 

the performance review policy for Senior Rated personnel.

PROGRAM HIGHLIGHT

Reengineering of the AOC’s Performance, Communication 

and Evaluation System. The AOC is re-engineering its PCES. In 

FY 2021, the AOC procured an online performance management 

system and used a cross-jurisdictional workgroup to identify PCES 

TABLE 28

Most Completed Agency-Sponsored Training in FY 2021

COURSE DESCRIPTION COMPLETIONS

Controlled Unclassified Information 3,073

Cybersecurity Awareness 2,980

Fraud Awareness 2,974

Annual Ethics 1,519

Recognizing and Preventing Sexual Harassment in the Workplace

(Supervisory Module) 444

Security for Those in IT Roles 339

Office Emergency Coordinator Training 267

Mandatory Drug-Free Workplace Employee Education 225

De-Escalation Training 156

Planning for Retirement 142

Portable Fire Extinguisher Training 141

Note: Completions indicate the total number of employees trained in FY 2021, 

which may include those that have separated from the agency and are no longer 

active employees.
160 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

policy enhancements. This policy is currently under review. When 

finalized, the AOC will transition from a three-tier performance 

rating system to a five-tier system, which will allow employees 

to receive performance awards for achievement at the top two 

tiers of the system. The online performance management system 

will offer a uniformed, user-friendly process with the ability to 

provide continuous feedback and electronic access to performance 

documents (to include access via tablets or mobile phones). It will 

also feature a library to assist supervisors with writing performance 

evaluations and standards and with reporting capabilities to allow 

the agency to track and analyze performance metrics. The system is 

expected to launch in FY 2022 and the AOC will conduct training for 

all employees once the system is online.

Fair and Equitable System to Address

Misconduct and Performance

The HR Act requires the AOC to have a fair and equitable system 

in place to address unacceptable conduct and performance by 

employees, including a general statement of violations, sanctions 

and procedures, as well as a formal grievance system. The AOC has 

a progressive discipline policy that aligns with OPM’s Managing 

Federal Employees’ Performance Issues or Misconduct reference 

materials, but is tailored to the AOC’s unique mission. The AOC 

Order 752-1, Discipline, as well as applicable collective bargaining 

agreements (CBA) specify uniform procedures for disciplinary 

actions designed to address and correct inappropriate conduct 

of employees.15 AOC Order 430-1, Performance, Communication 

and Evaluation System, provides the agency’s policy to address 

unacceptable performance. Like the discipline policy, applicable 

CBAs include the AOC’s policy for unacceptable performance. All 

agency employees have access to the AOC’s Human Resources 

policy manual via the agency’s intranet. 

The AOC Order 752-1, Discipline, provides a table of typical penalties 

for infractions. A formal grievance procedure is available to all AOC 

employees. If a union represents an employee, then the AOC affords 

the employee formal grievance procedures under the appropriate 

CBA. Otherwise, the AOC affords the employee formal grievance 

procedures under AOC Order 771-1, Grievance Policy.

The AOC evaluates each instance of misconduct against the 

“Douglas Factors,”16 established criteria espoused by OPM to 

ensure that agencies impose an appropriate penalty for employee 

misconduct. The AOC also reviews comparable disciplinary cases to 

ensure consistency. Likewise, the AOC is consistent in its handling 

of performance deficiencies. Regular reporting to the Architect 

of the Capitol and Deputy Architect ensures further consistency. 

15 The AOC’s current CBAs include: American Federation of State, County and 

Municipal Employees (AFSCME) Council 20, Local 626; AFSCME Council 20, Local 

658; International Brotherhood of Electrical Workers (IBEW), Local 121; Sheet Metal, 

Air, Rail and Transportation Workers, Local 100; United Association of Journeymen 

and Apprentices of the Plumbing and Pipefitting Industry of the United States and 

Canada, Local 5.

16 The Merit Systems Protection Board, in its landmark decision, Douglas vs. Veterans 

Administration, 5 M.S.P.R. 280 (1981), established criteria that supervisors must 

consider in determining an appropriate penalty to impose for an act of employee 

misconduct. The following relevant factors must be considered: the nature and 

seriousness of the offense; the employee’s job level and type of employment; and 

the employee’s past disciplinary and work record, among others.

Appropriate coaching and accountability are important principles in 

addressing misconduct and performance issues. 

PROGRAM HIGHLIGHT

Revised Grievance Policy. The AOC issued a revised version of 

AOC Order 771-1, Grievance Policy. The revised policy strengthened 

AOC grievance procedures by adjusting terminology to account 

for changes in the AOC organizational structure, adding clarity to 

administrative grievance procedures and exclusions and modifying 

the grievance process and procedures by eliminating the Chief Human 

Capital Officer’s role in adjudicating formal grievances. In addition, the 

revised policy defined the formal and informal grievance processes, 

eliminated the ability to grieve PCES-related documents, encouraged 

alternative dispute resolution processes, modified time limits and 

outlined requirements for employees to elect one avenue for redress 

— either through the DI/DR office, Ombuds, Office of Congressional 

Workplace Rights or the grievance process.

Employee Assistance Program 

The HR Act requires the AOC to provide services dealing with mental 

health, alcohol abuse, drug abuse and other employee problems, 

while ensuring employee confidentiality. The AOC Order 792-1, 

Employee Assistance Program (EAP), defines the agency’s program 

to meet this requirement. The program helps employees define 

the problem, develop a plan of action, develop new or strengthen 

existing skills and identify resources for problem resolution. Program 

services include initial assessment, short-term problem resolution, 

consultation, referral to community services and follow-up services. 

Participation in the EAP is voluntary and the AOC provides the 

program to employees and their immediate families free of charge 

(although employees are responsible for outside services). The AOC 

maintains confidentiality for employee participants and does not 

share employee personal information without a signed release. The 

EAP seeks to address the whole person, as the AOC recognizes that 

employee wellness fosters a safe and healthy work environment.

PROGRAM HIGHLIGHTS

Expanded EAP Services. The agency’s EAP services were broadly 

expanded during the past fiscal year. In addition to support 

for the workforce and their family members, the AOC added 

consultations and workplace presentations on topics such as stress 

management, grief education and support, and suicide awareness 

and prevention. The EAP also provided guidance, support, selfcare recommendations and resources for individual, family and 

work issues related to the COVID-19 pandemic and the January 6, 

2021, breach of the U.S. Capitol. Through the AOC’s All-Hands 

meetings, the EAP manager provided more than 500 employees 

with information and resources on handling stress. This fiscal year, 

the AOC also provided employees with around-the-clock access 

to Espyr’s TalkNow, an online resource for confidential counseling 

by qualified behavioral health professionals. Employees were also 

furnished with unlimited access to Espyr’s behavioral health website 

that offers live and on-demand webinars, articles, tools, videos, 

trainings and screenings.
Other Information | SECTION 04 161

COVID-19 Assistance. The EAP has been a central part of the 

AOC’s response to the COVID-19 pandemic by providing pertinent 

information, support and counseling to employees, managers 

and supervisors. The AOC developed COVID-19 Employee and 

Supervisory Toolkits to provide comprehensive guidance and 

address routine questions throughout the ongoing pandemic. 

The Employee Toolkit provides information about returning to 

work safely and employee responsibilities. The AOC also created 

and regularly updates COVID-19 frequently asked questions, a 

workplace and leave flexibilities chart and a return-to-work training 

video. The Supervisory Toolkit includes guidelines for supervisors 

communicating with employees and provides talking points for 

notifying employees about their requirements to return to on-site 

work and managing employee misconduct related to the pandemic. 

In addition, the EAP developed presentations for the recurring 

interactive “Office Hours” sessions to the AOC workforce. The 

sessions covered topics such as, “Handling Stress Associated with 

the Coronavirus-19 Pandemic” and “Building Resiliency Following 

Distressing Events.” The AOC posted recorded audio versions of each 

session on the AOC intranet for employees to access on demand.

Absence and Leave 

The HR Act requires the AOC to have a formal policy statement 

regarding the use and accrual of sick and annual leave that the agency 

provides to all employees. The AOC delivers comprehensive leave 

programs to maintain a productive workforce and help employees 

meet their personal and family needs. The agency has included its 

formal statement regarding the use and accrual of sick and annual 

leave in the following AOC Orders: 630-1, Absence and Leave; 630-2, 

Family and Medical Leave; and 610-1, Alternative Work Schedules. 

The policies cover the use and accrual of annual and sick leave, 

advanced annual and sick leave, compensatory time, leave without 

pay and other types of leave. The policies also provide the processes to 

ensure the uniform and consistent administration of leave programs. 

The AOC’s policies comply with federal regulations and the OCWR’s 

regulations on the Family and Medical Leave Act (FMLA). The AOC’s 

employees receive these policies during onboarding and have access 

to the policies on the AOC intranet. Additionally, the AOC provides 

employees with the policies through an employee guide, policy 

memoranda and an extended absences brochure.

PROGRAM HIGHLIGHTS

Leave and COVID-19. The AOC has developed guidance and 

remained agile in addressing the impacts of COVID-19 on the 

workforce and its operations. This included ensuring that employees 

were aware of the available leave entitlements. In accordance with 

guidelines by the Office of Attending Physician and the Centers 

for Disease Control and Prevention (CDC), the AOC permitted 

employees with underlying medical conditions to use administrative 

leave to prevent their potential exposure to COVID-19 at work. In 

addition, the AOC developed policy and infrastructure to implement 

the Families First Coronavirus Response Act, which provided eligible 

employees up to 80 hours of emergency paid sick leave, and 10 

additional weeks of partially paid expanded family and medical 

leave, for specified COVID-19-related reasons. When the provisions 

of this law ended on December 31, 2020, the AOC continued 

to offer coverage to employees with childcare challenges. To 

encourage employee COVID-19 vaccinations, the AOC provided 

employees with four hours of administrative leave to receive 

the COVID-19 vaccination and issued recurring communications 

regarding vaccinations.

Revised Absence and Leave Policy. The AOC issued a revised AOC 

Order 630-1, Absence and Leave. The policy revision incorporated 

requirements from the Wounded Warriors Federal Leave Act of 2015. 

The revision also eliminated the requirement, in most cases, for 

employees to provide medical documentation that shows medical 

diagnosis and prognosis. Claims under the FMLA, Federal Employees’ 

Compensation Act and Americans with Disabilities Act, advanced sick 

leave and Voluntary Leave Transfer Program requests must still be 

supported by documentation.

Oversight and Evaluation 

The HR Act requires the AOC to develop a system of oversight and 

evaluation to ensure that the agency’s personnel management 

system meets the requirements of the HR Act and complies with all 

other relevant laws, rules and regulations. The AOC has developed 

the following system of oversight and evaluation: 

Chief Human Capital Officer. The Chief Human Capital Officer has 

oversight responsibility for the agency’s human capital programs, 

including talent acquisition, position classifications, employee 

training and development, performance appraisal system, fair 

and equitable system to address misconduct and performance, 

employee assistance, and absence and leave. 

Director of Diversity, Inclusion and Dispute Resolution. 

The director of DI/DR reports to the CAO, who has oversight 

responsibility for the AOC’s EEO, affirmative employment, reasonable 

accommodation, diversity and inclusion and dispute resolution 

programs. 

Office of Inspector General (OIG). The OIG provides independent 

oversight of the AOC by auditing and evaluating various human 

capital programs. 

Affirmative Employment Program Report. This report provides 

statistics on the diversity of the AOC’s workforce, which measure the 

effectiveness of initiatives to ensure a diverse workforce. 

Annual Review of Policies. The AOC reviews its human resources 

policies annually to ensure that the policies comply with federal 

statutes and continue to meet evolving agency needs. In FY 2021, 

the AOC has developed, renewed and reissued human resources 

program policies. These policies were adjusted to conform to 

evolving federal guidance and to respond to the emerging needs of 

AOC’s workforce.

See the Infographic: Human Capital by the Numbers for a 

snapshot of the AOC’s workforce profile and related human capital 

statistics for FY 2021. 
162 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

INFOGRAPHIC

 

 

 

 

 

 

 

 

 

 

 

 

 
Other Information | SECTION 04 163

THIS PAGE H AS BEEN INTENTIONALLY LEF T BLANK.
164 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

The U.S. Capitol is considered the most suitable place for the nation 

to pay final tribute to its most eminent citizens. In FY 2021, the AOC 

supported the lying in honor ceremonies in the U.S. Capitol Rotunda 

for the slain U.S. Capitol Police Officers Brian D. Sicknick and 

William F. “Billy” Evans.
165

APPENDICES

TABLE 29

Architects of the Capitol

DATES OF SERVICE NAME BIOGRAPHY

1793 DR. WILLIAM THORNTON www.aoc.gov/about-us/history/architectsof-the-capitol/dr-william-thornton

1803-1811

1815-1817

BENJAMIN HENRY LATROBE www.aoc.gov/about-us/history/architectsof-the-capitol/benjamin-henry-latrobe

1818-1829 CHARLES BULFINCH www.aoc.gov/about-us/history/

architects- of-the-capitol/charles-bulfinch

1851-1865 T H O M A S U S T I C K WA LT E R www.aoc.gov/about-us/history/architectsof-the-capitol/thomas-ustick-walter

1865-1902 EDWARD CLARK www.aoc.gov/about-us/history/architectsof-the-capitol/edward-clark

1902-1923 ELLIOTT WOODS www.aoc.gov/about-us/history/architectsof-the-capitol/elliott-woods

1923-1954 DAV ID LY NN www.aoc.gov/about-us/history/architectsof-the-capitol/david-lynn

1954-1970 J . G E O R G E S T E WA R T www.aoc.gov/about-us/history/architectsof-the-capitol/j-george-stewart

1971-1995 GEORGE M. WHITE, FAIA www.aoc.gov/about-us/history/architectsof-the-capitol/george-m-white-faia

1997-2007 ALAN M. HANTMAN, FAIA www.aoc.gov/about-us/history/architectsof-the-capitol/alan-m-hantman-faia

2010-2018 STEPHEN T. AY ERS, FAIA, CCM, LEED AP www.aoc.gov/about-us/history/architectsof-the-capitol/stephen-t-ayers-faia-leed-ap

2020-

PRESENT

J. BRETT BLANTON www.aoc.gov/about-us/history/architectsof-the-capitol/j-brett-blanton

APPENDIX A

Architects of the Capitol 

The position of the Architect of the Capitol has a legacy rooted in the beginnings of Washington, D.C., when President George Washington 

selected Dr. William Thornton’s design for the U.S. Capitol Building. For his indelible impact on our national landscape, Dr. Thornton is honored as 

the first “Architect of the Capitol.” The 12 individuals who have held the position Architect of the Capitol are listed in Table 29, along with their 

dates of service. 

Hyperlinks are included to direct the reader to their biographies.
166 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

APPENDIX B

Major Facilities Under the AOC’s Care

As the builder and steward of the landmark buildings and grounds of the Capitol campus, the AOC is responsible for many of the most iconic 

buildings of the federal legislative and judicial branches. Table 30 lists the major facilities under the AOC’s stewardship, organized by the 

respective organizational unit.

TABLE 30

Major AOC Facilities 

FACILITY LOCATION

YEAR BUILT OR ACQUIRED

(If property was acquired after the year built, the AOC’s acquisition 

date appears in parentheses)

ASSIGNED (A) 

OR LEASED (L)

CAPITOL BUILDING

U.S. Capitol Building Washington, D.C. Construction started in 1793, various other dates for multiple expansions A

CAPITOL GROUNDS AND ARBORETUM

Summerhouse Washington, D.C. 1880 A

Capitol Square Washington, D.C. 1894 A

Robert A. Taft Memorial and Carillon Washington, D.C. 1959 A

Union Square Washington, D.C. Transferred 2011 A

CAPITOL POWER PLANT

Generator Building Washington, D.C. 1909 A

Main Boiler Plant Washington, D.C. 1909 A

Cogeneration Plant (formerly East Refrigeration Plant) Washington, D.C. 1937 A

Administration Building Washington, D.C. 1978 A

West Refrigeration Plant Washington, D.C. 1978 and various dates for later expansions A

Utility Tunnels Washington, D.C. Various dates A

Coal Yard Facilities Washington, D.C. Various dates A

HOUSE OFFICE BUILDINGS

Cannon House Office Building Washington, D.C. 1908 A

Longworth House Office Building Washington, D.C. 1933 A

Rayburn House Office Building Washington, D.C. 1965 A

East and West House Underground Garages Washington, D.C. 1968 A

Ford House Office Building Washington, D.C. 1939 (Transferred 1974) A

House Page Dormitory Washington, D.C. 1940 (Transferred 1986) A

O’Neill House Office Building Washington, D.C. 1963 (Transferred 2017) A

LIBRARY BUILDINGS AND GROUNDS

Thomas Jefferson Building Washington, D.C. 1897 (Transferred 1922) A

John Adams Building Washington, D.C. 1938 A

View of the Rayburn House Office Building (completed in 1965), photographed from the upper porch on the U.S. Capitol Dome.
APPENDICES 167

TABLE 30

Major AOC Facilities 

FACILITY LOCATION

YEAR BUILT OR ACQUIRED

(If property was acquired after the year built, the AOC’s acquisition 

date appears in parentheses)

ASSIGNED (A) 

OR LEASED (L)

James Madison Memorial Building Washington, D.C. 1980 A

St. Cecilia’s Special Services Facilities Center Washington, D.C. 1990 (Transferred 1991) A

Congressional Campus, which includes:

Fort Meade Warehouse Buildings Columbia, MD 1942 (Transferred 1993) A

Fort Meade Collection Storage Modules Columbia, MD Module 1: 2002, Module 2: 2005, Modules 3 and 4: 2009, 

Module 5: 2017 A

Packard Campus for Audio-Visual Conservation Culpeper, VA 2007 A

Collections Storage Facility Landover, MD 2016 L

U.S. Copyright Office Storage Facility Landover, MD 2021 L

OFFICE OF THE CHIEF ENGINEER (CONSTRUCTION DIVISION)

Construction Division Shops Washington, D.C. Estimated 1950s (1982) A

Construction Division Warehouse Landover, MD 2016 L

OFFICE OF THE CHIEF SECURITY OFFICER

Eney, Chestnut, Gibson Memorial Building Washington, D.C. 1930 (Transferred 1986) A

Vehicle Maintenance Facility Washington, D.C. 1930 A

Courier Acceptance Facility Washington, D.C. 1980 A

Canine Facility Washington, D.C. 1996 (Transferred 2004) A

Fairchild Building Washington, D.C. 2004 A/L

Interim Off-Site Delivery Washington, D.C. 2006 A

Government Publishing Office Washington, D.C. 2005 L

Verizon Building Washington, D.C. 2011 L

SENATE OFFICE BUILDINGS

Russell Senate Office Building Washington, D.C. 1909 A

Senate Underground Garage Washington, D.C. 1932 A

Dirksen Senate Office Building Washington, D.C. 1958 A

Hart Senate Office Building Washington, D.C. 1982 A

Daniel Webster Page Residence Washington, D.C. 1930 (Transferred 1993) A

107 D Street, NE Washington, D.C. 1885 A

Senate Sergeant At Arms (SSAA) Office Support 

(Postal Square) Washington, D.C. 1992 L

Senate Storage Building Washington, D.C. 1993 A

Senate Employees’ Child Care Center Washington, D.C. 1998 A

SSAA/Secretary of the Senate Warehouse Facility Landover, MD 2005 L

GPO — Senate Furniture/Refinishing Washington, D.C. 2007 L

Senate Mail Handling Facility Landover, MD 2008 A

SSAA Printing, Graphics & Direct Mail Facility Landover, MD 2011 L

GPO — SSAA Cabinet Washington, D.C. 2012 L

SUPREME COURT BUILDING AND GROUNDS

Supreme Court of the United States Washington, D.C. 1935 A

Thurgood Marshall Federal Judiciary Building Washington, D.C. 1992 A

U.S. BOTANIC GARDEN

Administration Building Washington, D.C. 1931 A

Bartholdi Fountain and Gardens Washington, D.C. 1932 A

Conservatory and surrounding gardens Washington, D.C. 1933 A

Production Facility Greenhouse, Headhouse Washington, D.C. 1993 A

Storage Facility Washington, D.C. 2017 A

U.S. CAPITOL VISITOR CENTER

U.S. Capitol Visitor Center* Washington, D.C. 2008 A

(continued)

* Note: While the visitor services operations at the U.S. Capitol Visitor Center are performed by the U.S. Capitol Visitor Center jurisdiction, its facility maintenance is managed by the 

Capitol Building jurisdiction.
168 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

APPENDIX C

17 In addition to receiving appropriations for each operating jurisdiction, the AOC receives appropriations for Capitol Police Buildings, Grounds and Security (to provide funds for 

the Chief Security Officer) and for Capital Construction and Operations (to provide shared program management and administrative support for the entire agency). This appendix 

focuses on the operational jurisdictions only.

The AOC Operational Jurisdictions’

Key Accomplishments and Priorities

The AOC is organized into nine operational jurisdictions, each with distinct responsibilities for maintenance, operation, development, 

preservation and services for a specific area of the Capitol campus. As part of the AOC’s FY 2021 Reorganization, the operational jurisdictions 

were realigned to report directly to the Chief of Operations. The AOC receives a separate appropriation for each jurisdiction.17 Table 31 identifies 

the jurisdictions and their corresponding responsibilities. This section supplements the major agency accomplishments described in the report’s 

Section 01: Management’s Discussion and Analysis and highlights the jurisdictions’ additional FY 2021 operational achievements and their 

FY 2022 priorities in support of the AOC’s mission.

T A B L E 3 1

The AOC Operational Jurisdictions

Capitol Building: Responsible for the maintenance, care and stewardship of the U.S. Capitol, the centerpiece of the Capitol campus, and for the maintenance of the U.S. 

Capitol Visitor Center.

Capitol Grounds and Arboretum: Responsible for preserving and maintaining 286 acres of historic landscape and grounds infrastructure across Capitol Hill.

Capitol Power Plant: Responsible for providing centralized utility services for Capitol Hill and maintaining and operating the Capitol Power Plant, which provides steam 

and chilled water to heat and cool the U.S. Capitol and 22 other facilities.

House Office Buildings: Responsible for the operation and maintenance of the facilities supporting the office and committee space for the Members of the U.S. House of 

Representatives and their staff.

Library Buildings and Grounds: Responsible for the life-cycle maintenance, operations and care of the Library of Congress facilities and grounds.

Senate Office Buildings: Responsible for the operation and maintenance of the facilities supporting the office and committee space for United States senators and 

their staff.

Supreme Court Building and Grounds: Responsible for the operations and maintenance of the Supreme Court of the United States, the Thurgood Marshall Federal 

Judiciary Building and the surrounding grounds.

U.S. Botanic Garden: Responsible for the maintenance, operation and care of the U.S. Botanic Garden Conservatory, the outside gardens, support facilities, the Bartholdi 

Fountain and Gardens, USBG’s other heritage assets and plant collections.

U.S. Capitol Visitor Center: Responsible for visitor services and general operations at the U.S. Capitol Visitor Center, including informational exhibitions, a restaurant, two 

orientation theaters, an auditorium and gift shops.
APPENDICES 169

Key Accomplishments

Coordinated Landscape Restoration: The jurisdiction coordinated the 

restoration of many landscapes across the Capitol campus that were impacted by 

construction projects. The projects used newly implemented Cultural Landscape 

Reports to facilitate decision-making, guide landscaping and manage resources. 

The landscape restorations included areas affected by the Russell Exterior 

Envelope Project, Senate Underground Garage and Landscape Restoration, 

Rayburn Garage Interior Rehabilitation and the Cannon Renewal.

Completed the Ulysses S. Grant Memorial Restoration: The jurisdiction 

completed the restoration of the Ulysses S. Grant Memorial with the installation 

of new lights and the completion of final detail punch-list items. The multiyear 

restoration, which began in 2016 and included over 150 bronze castings of missing 

or broken pieces, will preserve this powerful sculpture for decades to come. 

Improved U.S. Capitol Accessibility: The jurisdiction completed a 

request to install an Americans With Disabilities Act (ADA)-accessible ramp 

at the U.S. Capitol’s North and South Entrances. The work involved removing 

and modifying existing curb, gutter and pavement material to comply with 

federal standards.

What’s Next? FY 2022 Priorities

Implement Large-Scale Projects: The jurisdiction will strive to implement 

projects that combine restoration with deferred maintenance reduction. Specific 

goals include improvements to the Robert A. Taft Memorial and Carillion and the 

incorporation of elements from the original Olmsted Plan to the CVC entrance 

landscape.

Enhance Human Resources: The jurisdiction will continue growing and 

improving its human resource capacities to meet evolving agency needs, such as 

hires to fill needs for turf management and plant health specialists. 

Key Accomplishments

Received Historic Lumber to Restore the U.S. Capitol: Following the events 

of January 6, 2021, the AOC was approached by the U.S. Army and U.S. Forest 

Service about the opportunity to use 3,000 pounds of old-growth, virgin-cut 

mahogany wood to repair areas of the U.S. Capitol — in particular, window frames 

and doors. Originally lumbered for a World War I aviation project, the invaluable 

wood has remained in conditioned storage for more than a century. Through an 

official property transfer in April 2021, the jurisdiction took ownership of this rare 

material to repair and replace the damaged window frames and doors.

Upgraded System Infrastructure: The jurisdiction performed a series 

of large-scale system upgrades to the U.S. Capitol. The upgrades included 

the installation of new sprinkler systems, a fire alarm system update and, in 

response to COVID-19, HVAC upgrades to improve building ventilation and air 

exchange rates.

Improved Client Services: The jurisdiction deployed mobile phones to its 

Client Services Division, which includes the Labor, Service Center and Flag Office 

branches. Use of mobile phone technology allows the jurisdiction staff to process 

work orders more efficiently and improve customer service operations.

What’s Next? FY 2022 Priorities

Expand Cultural Transformation Training: The jurisdiction will hold 

Cultural Behaviors Transformation training with multiple new employee 

groups. Leadership and employees already in the program will transition to skills 

and solutions exercises to hone problem-solving and management skills.

Improve Recycling and Waste Minimization: The jurisdiction will implement 

food waste management and composting throughout the U.S. Capitol and the 

CVC and provide staff training on the appropriate disposal of batteries and 

electronics waste. 

Capitol Building

Capitol Grounds and Arboretum
170 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Key Accomplishments

Implemented Asbestos Abatement Program: The jurisdiction collaborated 

with the AOC’s Construction Division to develop a comprehensive program to 

abate existing asbestos insulation throughout the Capitol Power Plant. This 

program will systematically and strategically remove asbestos over the next 

several years without impacting plant operations.

Provided Emergency Responses: The jurisdiction provided emergency 

service during multiple critical events in customer buildings. During a chilled 

water emergency, the jurisdiction quickly identified, isolated and repaired the 

failed system without impacting Capitol campus system operability. For various 

electrical outages from weather and other events, the Distribution High Voltage 

team provided swift emergency response, ensuring minimal or no impact to 

Capitol campus facilities.

Improved Safety Processes: The jurisdiction evaluated and identified 

improvements to its safety processes for disabling machinery or equipment 

and protecting staff from hazardous energy releases (known as lockout/tagout 

processes). These processes keep the Capitol Power Plant compliant with the 

Office of Congressional Workplace Rights regulations and contribute to employee 

safety. As part of the improvements, the jurisdiction implemented new controls 

in a revised request and approval process.

What’s Next? FY 2022 Priorities

Complete the Utility Master Plan: The jurisdiction will complete the Utility 

Master Plan and incorporate its findings and recommendations into the AOC’s 

Vision 2100 Master and Strategic Plans initiative and the next 20-year Capitol 

Complex Master Plan.

Support the AOC Reorganization: The jurisdiction will continue supporting 

the AOC Reorganization, including integrating the Distribution High Voltage team 

and Electronics Engineering Branch into the jurisdiction and initiating employee 

groups to support the Cultural Behaviors Transformation. 

Capitol Power Plant

Key Accomplishments

Rehabilitated the Rayburn Garage: The jurisdiction began Phase 4 of the 

Rayburn House Office Building Garage Interior Rehabilitation, repairing and 

replacing the concrete on four parking levels and repairing the concrete over the 

Wellness Center with minimal impact. The team is also repairing and replacing the 

exterior overhead doors and loading dock doors to increase their operability and 

security. The project is expected to be complete in FY 2022.

Enhanced Cleaning Protocols. The jurisdiction developed processes to 

conserve resources and keep employees and staff safe during the pandemic. 

The jurisdiction implemented a door tag system that allowed night custodians 

to prioritize the offices that had been occupied each day. At the Wellness 

Center, staff sanitized and disinfected exercise equipment after each use and 

reconfigured the center for safe operations.

Initiated Waste Management Program: After an AOC analysis identified 

that food waste represented nearly one-half of all waste material, the jurisdiction 

joined the Capitol Building and Senate Office Buildings jurisdictions in a food 

waste collection and composting program. The program collects kitchen scraps 

generated from the Longworth House Office Building Café and other food service 

vendors.

What’s Next? FY 2022 Priorities

Update House Office Building Commission Policies: The jurisdiction will 

develop building policies to set standards to preserve the aesthetics for House 

office buildings hallways and windows. This follows on the draft window and 

hallway standards developed this fiscal year and will be published before the 

118th Congress. 

Enterprise Asset Management: In coordination with the AOC’s EAM initiative, 

the jurisdiction will continue improving facility and equipment maintenance 

management, ensuring that all assets are maintained in an optimal manner. 

House Office Buildings
APPENDICES 171

Key Accomplishments

Provided Daily Facility Updates: The jurisdiction leveraged building information 

captured in the work order system to create an automatically generated daily report 

on facility space conditions and electrical loading data for their off-site Library of 

Congress customers. The program provides a successful technology-based solution 

to a client request for routine facility management data.

Improved Storage Module Efficiency: The jurisdiction proactively increased 

the efficiency of its temperature and humidity controls for the Fort Meade 

collection storage modules. Temperature and humidity levels in the spaces 

now operate within a 6-degree temperature and a 6-percent relative humidity 

tolerance, providing consistent environmental conditions.

Automated Self-Inspection Process: The jurisdiction implemented an 

automated self-inspection checklist, in conjunction with the Office of Safety 

and Code Compliance, to identify and correct building deficiencies with greater 

efficiency and accuracy. Integrating a former manual checklist into the work order 

system provides employees with the ability to easily create corrective work orders 

and complete inspection processes on-site using a mobile phone.

What’s Next? FY 2022 Priorities

Complete Energy Savings Performance Contract: The jurisdiction will 

complete the implementation phase of its ESPC project in FY 2022. Risks relating 

to access coordination and unplanned disruptions due to COVID-19 or special 

events will be managed to minimize impact on the implementation.

Improve Large Project Coordination: The construction projects requested by 

the Library of Congress have significantly increased in complexity and size from 

previous years, requiring additional AOC design services. The jurisdiction believes 

that it may improve on construction time and costs with better upfront project 

planning with the Library. 

Library Buildings and Grounds

Key Accomplishments

Initiated Food Service Master Plan: The jurisdiction began a master plan 

study of the restaurant facilities, dining areas, kitchens and catering services in the 

Senate office buildings and the U.S. Capitol. The study includes customer surveys, 

a benchmark survey, a space audit, and analyses of kitchen, storage, seating and 

technology use. The master plan will modernize Senate food operations to meet 

the food service needs of today’s Senate community.

Completed Accessibility Design Upgrades: The jurisdiction partnered with 

the OCE to design key accessibility design upgrades for the auditorium entrance 

on the northeast side of the Dirksen Senate Office Building. The project, which 

includes an entrance door conversion and ramp installation, is scheduled for 

construction in FY 2022.

Addressed Critical Citation 19 Work: The jurisdiction expanded sprinkler 

and fire alarm coverage in the Russell Senate Office Building, in partnership with 

the OCE and the AOC Construction Division, to address an Office of Congressional 

Workplace Rights citation. This work increased critical fire and life-safety 

protections with minimal disruption to Senate operations.

What’s Next? FY 2022 Priorities

Initiate Hearing Room Renovations: The jurisdiction will begin a 15-year 

renovation project for 32 hearing and committee meeting rooms throughout the 

Senate office buildings. This project will address needed lighting, audiovisual and 

HVAC system upgrades and bring the rooms into ADA compliance. The program 

will also prioritize historic preservation, updating carpeting, furniture and 

finishes while ensuring the rooms remain true their original architectural intent. 

Prioritize Employee Initiatives: The jurisdiction will prioritize employeerelated initiatives to empower its workforce after a challenging year, using 

individual development plans to tailor staff training to career goals, while 

increasing professionalism and service quality. 

Senate Office Buildings
172 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

Key Accomplishments

Completed Elevator Upgrades: The jurisdiction completed elevator upgrades 

at the Thurgood Marshall Federal Judiciary Building on schedule and under 

budget. The project upgraded 18 elevators with state-of-the-art accessibility 

features and renovated all cabs and elevator lobbies. Based on its strong 

execution, it was designated a "Star Project" by the Office of the Chief Engineer.

Replaced Second Street Barriers: With the Chief Security Officer’s support, 

the jurisdiction replaced security barriers along Second Street, adjacent to the 

Supreme Court of the United States. The noisy, electronically operated barriers 

were at the end of their life cycle and created a disturbance to neighboring 

homes. The project was executed on schedule and within budget.

Fostered Upward Mobility: The jurisdiction created more career ladder 

positions to support critical staff needs, retain skilled employees and promote 

succession planning. The program is supported by a robust individual training 

plan and has succeeded in fostering upward mobility and knowledge retention. 

The jurisdiction has created 11 career ladder positions in the past three years.

What’s Next? FY 2022 Priorities

Develop Succession Planning: The jurisdiction will further develop 

succession planning initiatives and develop more apprentice-style career 

ladder positions for hard-to-fill trade jobs. To support knowledge management 

and grow technical dexterity, the jurisdiction will also begin documenting 

operational processes for major systems and equipment.

Develop Elevator Mechanics: The jurisdiction is working with the House 

elevator shop to leverage best practices and develop a career ladder initiative to 

yield more in-house mechanics, allowing the AOC to phase out the use of 

contractors for annual maintenance and inspections. 

Supreme Court Building and Grounds

Key Accomplishments

Collaborated on Conservation Projects: The jurisdiction’s partnership 

with The Morton Arboretum is supporting research on oak species in the 

southwestern United States. A collaboration with NatureServe is generating 

conservation assessments for at-risk native plants, while a project with Botanic 

Gardens Conservation International and the Global Genome Initiative for Gardens 

supports the preservation of Earth’s plant diversity.

Added New Mezzanine Level: The jurisdiction added a mezzanine level 

and renovated office space in the West Orangerie of the U.S. Botanic Garden 

Conservatory. The enhancements provide storage space in the upper level and 

additional cubicles for employees and volunteers.

Urban Agriculture Resilience Program (UARP): In collaboration with the 

American Public Gardens Association, the second year of the UARP supported 

collaborations between U.S. public gardens and partner organizations that 

combine food growing and educational programming. Twenty-one proposals 

from across the United States were awarded over $400,000 in support of 

urban agriculture addressing food security challenges exacerbated by the 

COVID-19 pandemic.

What’s Next? FY 2022 Priorities

Open Major Agriculture Exhibition: The jurisdiction will complete the 

design and installation of a major exhibition in winter 2022 highlighting the role 

that agricultural plants play in enriching life. The USBG will continue to engage 

the public through online educational programming and will gradually return to 

in-person programming when it is safe to do so.

Advance Production Facility Design: The jurisdiction will initiate the 

multiphase design process for its Production Facility Renewal project. The design 

will outline requirements for the new greenhouses, utilities, education center and 

urban agriculture demonstration farm. 

U.S. Botanic Garden
APPENDICES 173

Key Accomplishments

Provided National Guard Tours: Following the January 6 breach, the National 

Guard was stationed on the Capitol campus for more than four months. During 

this time, the jurisdiction provided tours of the U.S. Capitol to more than 2,500 

National Guard troops, to thank the service members deployed to the Capitol 

campus and share the story of the historic facilities they were charged to protect.

Built Educational Partnerships: The jurisdiction established new 

partnerships with PBS LearningMedia and the Civics Renewal Network to broaden 

the reach of the AOC’s online educational resources and programs. In addition, 

the jurisdiction expanded its partnership with the U.S. Capitol Historical Society 

with the launch of the “We the People” Constitution program. The jurisdiction 

also provided live, in-person commentary for the Joint Congressional Committee 

on Inaugural Ceremonies’ live feed during the 59th Presidential Inauguration.

Developed Native American Training Material: The jurisdiction created 

new training aids to assist staff in interpreting Native American representations 

in the U.S. Capitol, including a fact sheet on tribal affiliations and pronunciations 

for Indigenous names depicted on the tour route. The jurisdiction also provided 

online staff enrichment workshops that contextualized the first Thanksgiving from 

a Native American point of view.

What’s Next? FY 2022 Priorities

Safely Return Employees to On-Site Work: The jurisdiction will help 

its staff safely transition back to on-site work. These efforts will be subject to 

congressional decisions on building access, security and COVID-19 safety issues. 

Reopen the CVC to Visitors: The jurisdiction hopes to reopen the CVC and its 

newly redesigned Exhibition Hall to the public, subject to the easing of COVID-19 

pandemic restrictions and the coordination of security issues with 

congressional oversight.

U.S. Capitol Visitor Center
174 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

APPENDIX D

Major Stone Repair, Façade and Preservation Projects

Stone preservation is a top priority for the AOC, as nearly every building across the Capitol campus is constructed of stone. A combination of 

weather, age and insufficient maintenance has resulted in damage to many of the finer details of these historic stone edifices. If preservation 

work is not performed, water infiltration will result in building operational issues, pose safety risks and potentially damage the architectural 

features and historic artwork within. This appendix summarizes the AOC’s major stone repair, façade repair and preservation projects at the 

fiscal year close.

C A N N O N R E N E WA L 

Project description: The Cannon House Office Building, constructed 

in 1908, is undergoing a complete renewal. More than a century of 

weather and operations has led to the deterioration of the stone 

façade, as well as to the building and utility infrastructure. The 

utility systems are past the end of their useful lives and are being 

upgraded. Other work includes restoring the stone exterior and 

wood-frame windows, as well as constructing a new fifth floor. In 

FY 2021, the AOC completed Phase 2 of the project and began work 

on Phase 3, which focuses on the building’s East Wing.

O L M S T E D T E R R A C E 

PR ESERVAT ION

Project description: The condition of stone and metal fixtures 

on the Olmsted Terrace, completed in 1894, have deteriorated 

due to insufficient maintenance. To properly restore the terraces 

surrounding the U.S. Capitol’s base along the west, north and south 

façades, a six-phase project is ongoing to clean and repair the 

marble and granite on its walls and approaches. During each phase, 

the walls, pedestals, steps and curbing will be cleaned, repointed 

and repaired.
APPENDICES 175

RU S S E L L E X T E R I O R 

ENVELOPE PROJ ECT

Project description: The restoration project will preserve the 

exterior envelope of the oldest of the three Senate buildings, 

including its exterior marble, limestone and granite, along with its 

wood-frame windows and glazed doors. The second of three phases 

of the project was completed in FY 2021. The final sequence of work 

focuses on stone cleaning and historic window restoration on the 

west side of the building and the building rotunda.

T H U R G O O D M A R S H A L L 

FEDERAL JUDICIARY BUILDING

FAÇADE REPAIR PROGR A M

Project description: The AOC continued work on the Thurgood 

Marshall Federal Judiciary Building Façade Repair Program, 

identifying the building’s stone failures, conducting nondestructive 

tests at areas adjacent to public access, identifying stone repair 

methods and prioritizing the repair of areas nearest to public 

walkways. Based on the limited budget, the AOC and the 

Administrative Office of the U.S. Courts have mutually approved a 

targeted risk-based stone repair.

C A P I T O L E X T E R I O R 

P R E S E R VA T I O N — S T O N E 

AND METAL

Project description: A multiphase exterior restoration of the U.S. 

Capitol Building will extend the life expectancy of deteriorated 

stone and replace missing architectural elements. In FY 2021, Phase 

2 of the project was completed on time and work on Phase 3, 

which focuses on the building’s west façade, commenced. The AOC 

accelerated mobilization work activities by nearly four months after 

combining security setup requirements with the 59th Presidential 

Inauguration.

For more information: www.aoc.gov/what-we-do/projects/stone-preservation-capitol-campus
176 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

APPENDIX E

Major Exhibitions and Programs

The U.S. Botanic Garden (USBG) and U.S. Capitol Visitor Center (CVC) create and offer extraordinary exhibitions and programs for the visiting 

public, free of charge. Although the CVC and USBG Conservatory were closed to the public throughout the fiscal year due to the COVID-19 

pandemic, they adapted by creating a roster of online exhibitions, programs and events. Their FY 2021 exhibitions and programs included:

PA T R I C K D O U G H E R T Y S T I C K W O R K 

S C U L P T U R E I N S T A L L A T I O N 

October 2019–Ongoing

In celebration of its bicentennial, the USBG installed a custom sculpture in collaboration 

with renowned artist Patrick Dougherty, whose installations are woven from plant materials. 

Volunteers and employees worked with Dougherty and his team over three weeks to create 

the unique, interactive artwork. The outdoor sculpture was accessible on the lawn west of 

the Conservatory beginning July 5, 2021, when the gated outdoor gardens reopened.

U . S . B O T A N I C G A R D E N A T 2 0 0 : D E E P LY 

ROOTED, BR A NCHING OU T WAR D

February 2020–March 2021

For the yearlong celebration of the USBG’s 200th anniversary, this exhibition invited the 

public to engage with the USBG’s distinctive plant collection and unique place in American 

history. The exhibition provided historic images of the USBG, presented a history of plant 

exploration and shared the USBG’s day-to-day operations of growing and caring for a diverse 

collection of living plants.

O N L I N E G A R D E N P R O G R A M S , 

TALKS AND WORKSHOPS

The USBG hosted online adult programs on plant science, horticulture, art, history, cooking 

and health. The programs featured USBG horticulture employees, nationally recognized 

authors, scientists and local chefs. The USBG piloted a virtual field trip for students in 65 

classes in grades 3-5 and piloted a hybrid online/in-person environmental science camp for 

elementary and middle school students. In total, the USBG offered over 170 virtual programs 

and field trips over the course of the fiscal year, reaching audiences in all 50 states and 

24 countries.

USBG AT HOME

While the Conservatory was closed, the USBG introduced virtual tours — plant spotlight 

stories and activities for children and families to explore the USBG from home. The family 

activities included print-out coloring pages, lesson plans, videos and more. The USBG 

also shared the USBG’s seasonal changes with photos and videos on Facebook , YouTube 

and Instagram.
APPENDICES 177

CAPITOL CONVERSATIONS

This fiscal year, the CVC launched “Capitol Conversations,” a series of live, interactive online discussions 

about the U.S. Capitol Building’s historic spaces, artworks, artifacts, statues and events. The discussions 

were led by visitor guides and supported by the AOC Curator Division and the visitor services team. 

Topics included Charles Bulfinch and the first Capitol Dome, the Missouri Compromise, the burning of 

the U.S. Capitol, and the National Film Registry. 

S H A P I N G H I S T O R Y: W O M E N I N 

CAPITOL ART PODCAST

The CVC’s premiere podcast series, “Shaping History: Women in Capitol Art,” was 

introduced in May 2020. The 10-episode podcast commemorates the centennial 

of the 19th Amendment and provides a rich narration featuring curators, 

historians, artists, eyewitnesses and descendants of honored subjects. The 

episodes, completed in collaboration with the AOC Curator, provide insight into 

the women artists and subjects found in the National Statuary Hall Collection.

FA M I LY P R O G R A M S : O N L I N E 

LEARNING WITH THE U.S. CAPITOL

This fiscal year, the CVC launched its first synchronous online student 

programming with three online programs that can be tailored to appropriate 

grade levels. In conjunction with these programs, the jurisdiction also added to its 

online educational resources and offered its first online teacher workshop in June 

2021. Additional resources, such as student activity guides and colorful booklets, 

encourage students to explore the history of Congress and the U.S. Capitol.

The number of visitors to the CVC and the USBG Conservatory, by fiscal year, is provided in Table 32. A person visiting both facilities on any given 

day would be included in the visitor count for each. Starting in mid-March 2020, the buildings of the Capitol campus were temporarily closed to 

the public due to COVID-19 and remained closed throughout the rest of FY 2020 and all of FY 2021. While the USBG outdoor gardens were open 

at the end of FY 2021, statistics were not collected for outdoor visitors.

TABLE 32

Number of Visitors by Year, FY 2016-FY 2021 (Rounded to the nearest 1,000)

FISCAL YEAR U.S. CAPITOL VISITOR CENTER U.S. BOTANIC GARDEN

2016 2,205,000 1,184,000 

2017 2,447,000 953,000 

2018 2,376,000 952,000 

2019 2,375,000 1,004,000

2020 723,000 448,000

2021 0 0

Total FY 2016-FY 2021 10,126,000 4,541,000

Six-Year Average 1,688,000 757,000 

Exhibitions and information may also be viewed online at:

www.usbg.gov/exhibits and www.visitthecapitol.gov/exhibitions
178 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

APPENDIX F

Reimbursable Accounts Summary

The AOC is authorized to provide reimbursable services in limited 

circumstances. Depending on the reimbursable authority, the AOC 

either posts the collected funds to a specific AOC appropriation 

or transfers the reimbursements to the U.S. Department of 

Treasury (Treasury). The AOC’s audited financial statements 

include the assets, liabilities and transactions associated with the 

reimbursable accounts.

Battery Recharging Stations (2 U.S.C. § 2170, P.L. 112-167 [Senate]; 

2 U.S.C. § 2171, P.L. 112-170 [House]; and 2 U.S.C. § 2171a, P.L. 114-

113 [Library]). The AOC operates battery recharging stations for 

privately owned vehicles used by Members of Congress or covered 

employees in the parking areas managed by the Senate Office 

Buildings, the House Office Buildings and the Library Buildings and 

Grounds jurisdictions. These recharging stations operate at no net 

cost to the federal government. The AOC credits the appropriations 

account for the Capitol Power Plant with all fees or charges collected 

for the electricity provided by the recharging stations. Monies 

deposited are available for obligation in the fiscal year collected and 

the following fiscal year.

Capitol Complex E85 Refueling Station (2 U.S.C. § 2169; P.L. 110-

140, Title V, § 502). The AOC operates an E85 fuel tank and pumping 

system. The pumping station is available for all E85 fuel-compatible 

vehicles used by the AOC and other legislative branch agencies. All 

other legislative branch agencies that fuel vehicles at the station 

must reimburse the AOC for the cost of the fuel.

Disposition of Surplus or Obsolete Personal Property (2 U.S.C. 

§ 1817a; P.L. 111-68, Div. A, Title I, § 1301). The AOC is authorized 

to dispose of surplus or obsolete personal property through 

interagency transfer, donation, sale, trade-in or discard. Any 

amounts the AOC receives for the disposition of personal property is 

available for the AOC’s operations for the acquisition of the same or 

similar property. The funds are available for the fiscal year received 

and the following fiscal year.

Rent from The Monocle Restaurant (P.L. 91-382). The AOC is 

authorized to lease the lot where The Monocle Restaurant is located. 

The AOC deposits all receipts from this lease in the Treasury’s 

general fund.

Utility Reimbursements for Steam and Chilled Water (40 U.S.C. 

§ 6111(b)(1)(A) [Supreme Court of the United States]; 40 U.S.C. 

§ 6502(e) [Thurgood Marshall Federal Judiciary Building]; 40 U.S.C. 

§ 6909 [Union Station]; 91 Stat. 1374 [Folger Shakespeare Library]; 

and 42 Stat. 767 [Postal Square and the Government Publishing 

Office Building]). The Capitol Power Plant provides lighting, heating, 

power, water and sewer services for the Capitol campus and, 

on a reimbursable basis, for other public buildings designated 

by Congress. These reimbursable services include heating the 

Government Publishing Office and Washington City Post Office 

and heating and providing chilled water for air conditioning the 

Supreme Court of the United States, the Union Station complex, the 

Marshall Building, and the Folger Shakespeare Library. The Capitol 

Power Plant’s appropriation is credited with up to $10 million of 

reimbursable amounts collected during FY 2021. The AOC deposits 

any amounts collected in excess of $10 million in the Treasury’s 

general fund.
APPENDICES 179

APPENDIX G

Glossary 

Americans With Disabilities Act (ADA): This federal law 

prohibits discrimination in employment, transportation, public 

accommodations, communications and government activities and 

guarantees people with disabilities equal opportunity. 

Architect of the Capitol Human Resources Act: This act requires the 

AOC to establish, implement, maintain, evaluate and annually report 

to Congress on the agency’s personnel management system. The act 

also requires that all personnel actions affecting AOC employees are 

free from any discrimination. 

Architect’s Mobility Program: This program offers opportunities 

for employees who lack qualifying experience to enter other fields. 

This program addresses the AOC’s commitment to employee 

development, while providing continuity of talent and critical 

trade skills. 

Backlog: The total deferred maintenance plus capital renewal 

projects that are expected to become deferred maintenance within 

a five-year window. 

Brumidi Corridors: The vaulted, ornately decorated corridors on 

the first floor of the Senate wing in the U.S. Capitol Building. They 

are named in honor of Constantino Brumidi, the19th-century Italian 

artist who designed the murals and other major elements.

Capital Construction and Operations: Appropriation providing the 

essential construction, central management, operational support 

and professional support in connection with the facilities under the 

AOC’s care. 

Capital Improvements Plan (CIP): Projects annual funding 

requirements and provides an evaluation of capital projects based 

on key criteria, including regulatory compliance, security, mission 

accommodation, historic preservation, economic considerations, 

energy considerations and sustainability.

Capitol Christmas Tree: Since 1964, a Capitol Christmas Tree is 

erected and decorated on the West Front Lawn of the U.S. Capitol 

Building to celebrate the holiday season. The AOC’s Capitol Grounds 

and Arboretum’s Director is responsible for overseeing the tree’s 

selection, installation and decoration. 

Capitol Complex Master Plan (CCMP): The comprehensive, 20-year 

framework that guides the AOC in its mission to maintain, renovate 

and develop the Capitol campus. 

Chief Financial Officers Act of 1990 (CFO Act): This act established 

a Chief Financial Officer in each major executive branch agency, 

assigned the OMB with the responsibility for setting accounting and 

financial reporting standards, increased internal controls, required 

annual independent financial statement audits for agencies and 

established financial management systems requirements. 

Cogeneration: The Capitol Power Plant’s cogeneration system uses 

natural gas in a combustion turbine to simultaneously generate 

electricity and steam. 

Congressional Gold Medal Ceremony: This ceremony recognizes 

those who have been awarded the Congressional Gold Medal by the 

U.S. Congress. Awardees are chosen based on achievements that 

have impacted American history and culture. 

Congressional Office Moves: The Member and committee 

office moves and space reassignments follow the biennial 

November elections for the United States Senate and U.S. 

House of Representatives. Related activities include: managing 

the suite selection process; developing architectural layouts; 

moving furniture; painting offices; removing, relocating and 

installing partitions; completing custom wood working and 

upholstery projects; and updating the electrical, data and 

telecommunications infrastructure. 

Construction Work-in-Progress (CWIP): Construction workin-progress is a general ledger account used to record both the 

direct costs and allocated indirect costs that are associated with 

constructing a fixed asset.

Coronavirus Aid, Relief, and Economic Security Act (CARES Act):

The CARES Act was passed by the 116th Congress and signed 

into law in March 2020. This $2.2 trillion economic stimulus relief 

package protected the American people from the health and 

economic impacts of the COVID-19 pandemic.

Coronavirus Disease 2019: An infectious respiratory disease 

caused by the SARS-CoV-2 virus, a novel coronavirus discovered in 

2019. The disease is often abbreviated as COVID-19.

Corrective Maintenance: Corrective or emergency maintenance 

activities are those undertaken to identify, isolate and rectify an 

unscheduled deficiency of equipment or systems.

Cox Corridors: The three corridors located on the first floor of the 

U.S. Capitol Building’s House wing were designed by renowned 

artist Allyn Cox. The Cox Corridors are decorated with wall and 

ceiling murals that depict the development and growth of the 

United States.

C-suite: The group of executives with agencywide responsibility and 

authority to focus on operational performance, manage enterprise 

Congressional Office Moves
180 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

risk and maintain strong accountability. The C-suite consists of the 

Chief Administrative Officer, the Chief Engineer, the Chief Financial 

Officer, the Chief of Operations and the Chief Security Officer.

Deferred Maintenance and Repairs (DM&R): These are 

maintenance and repairs that were not performed when they 

should have been, or were scheduled to be, and are delayed to a 

future period. 

Emancipation Hall: The U.S. Capitol Visitor Center’s Emancipation 

Hall is a central gathering place for visitors to the U.S. Capitol 

Building. The hall was named to recognize the contributions of the 

enslaved laborers who helped build the U.S. Capitol.

Emergency Security Supplemental Appropriations Act, 2021: 

A 2021 act of Congress that provided $1.9 billion in emergency 

supplemental appropriations for the legislative branch and other 

federal agencies in response to the U.S. Capitol breach that occurred 

on January 6, 2021.

Energy Independence and Security Act of 2007 (EISA2007): An 

act of Congress intended to move the U.S. toward greater energy 

independence and security, increase the production of renewable 

fuels, protect consumers, increase the efficiency of products, 

buildings and vehicles, promote research on and deploy greenhouse 

gas capture and storage, and improve the energy performance of 

the federal government. 

Energy Savings Performance Contract (ESPC): These contracts 

represent public-private partnerships for financing energy savings 

construction projects. ESPCs have been used by the AOC to 

finance needed energy preservation improvements for three of its 

jurisdictions (Capitol Building, House Office Buildings and Senate 

Office Buildings) and will be used for a fourth jurisdiction (Library 

Buildings and Grounds). 

Enterprise Risk Management (ERM): The process by which 

management and leadership identify, assess and manage 

risks across an enterprise to make informed decisions toward 

risk reduction. 

Exchange of Critical Expertise and Learning (ExCEL): A workforce 

program to improve organizational efficiencies and increase 

employee knowledge through the exchange of skills and knowledge 

across the AOC. 

Exhibition Hall: The U.S. Capitol Visitor Center’s Exhibition Hall 

is home to “E Pluribus Unum — Out of Many, One,” the exhibition 

dedicated to telling the story of the U.S. Congress and the 

U.S. Capitol.

Facility Condition Assessment (FCA): A program that assesses 

the condition of building components, systems, remaining life and 

deferred maintenance requirements. 

Facility Condition Index (FCI): An overall assessment of the 

condition of a facility. It is measured by the ratio of deferred 

maintenance costs to estimated building replacement costs. 

Federal Financial Management Improvement Act of 1996 (FFMIA): 

A statute that advanced federal financial management by ensuring 

that federal financial management systems provide accurate, reliable 

and timely financial information to the government’s managers. 

Federal Managers’ Financial Integrity Act of 1982 (FMFIA): A 

statute amending the Accounting and Auditing Act of 1950 and 

requiring the establishment of guidelines for evaluating agencies’ 

systems of internal control with three objectives: operational 

effectiveness and efficiency, regulatory and statutory compliance 

and reliable financial reporting. 

Generally Accepted Accounting Principles (GAAP): The 

accounting concepts and standards for the U.S. government, as 

prescribed by the Federal Accounting Standards Advisory Board. 

Government Performance and Results Act of 1993 (GPRA): A 

statute that provided for the establishment, testing and evaluation 

of strategic planning and performance measurement in the federal 

government. Later amended by GPRAMA. 

Government Performance and Results Modernization Act of 2010 

(GPRAMA): A statute that updated GPRA to create a more defined 

performance framework, including the designation of cross-cutting 

federal priority goals and agency-level priority goals. 

Heritage Asset: The buildings, structures, landscapes, fine art, 

architectural fine art, decorative art, architectural decorative 

art, monuments, memorials, archival records, photographic 

records, living botanical assets, views and vistas, archeological 

resources, and stored art and architectural materials in the care 

of the AOC that have historical, architectural, artistic, cultural or 

educational significance. 

Jurisdiction: The AOC has oversight responsibility for several 

jurisdictions. Each jurisdiction is responsible for a designated 

geographic area and/or facility of the Capitol campus. 

Leadership in Energy and Environmental Design (LEED): A 

green building certification program, sponsored by the U.S. Green 

Building Council, which recognizes best-in-class facility strategies 

and practices.

Legislative Branch Financial Management System (LBFMS): The 

consolidated shared service financial management system used for 

legislative branch financial operations. 

Living Botanical Asset: A plant specimen that should be granted 

preservation consideration. At the AOC these typically (though not 

exclusively) fall into the categories of living accessions of the U.S. 

Botanic Garden, memorial trees and plants identified as significant 

in cultural landscape reports. 

Memorial Trees: The living heritage assets planted to honor 

distinguished citizens, groups and national events. The AOC is 

responsible for the care of the memorial trees. 

National Financial Center (NFC): The U.S. Department of 

Agriculture’s shared services provider for financial management 

and human resources. The NFC administers the AOC’s payroll 

and benefits. 

National Statuary Hall Collection: This collection is comprised of 

statues donated by individual states to honor notable individuals in 

their history and is displayed throughout the U.S. Capitol Building 

and the U.S. Capitol Visitor Center. The AOC is responsible for the 

care and preservation of the entire collection, which consists of 100 

statues contributed by 50 states (two statues each). 
APPENDICES 181

Olmsted Plan: A grand landscape architecture plan for the U.S. 

Capitol Grounds, it was designed between 1874 and 1892 by 

Frederick Law Olmsted, the father of landscape architecture 

in America. 

Presidential Inauguration: The presidential inauguration is 

perhaps the most widely known of the ceremonies held at the 

U.S. Capitol Building. Every four years, the AOC is responsible for 

constructing the inaugural platform on the building’s West Front, 

setting up the seating and fencing on the grounds and coordinating 

activities with the JCCIC. 

Preventive Maintenance: The recurring or scheduled care and 

servicing of equipment, systems and facilities to keep them in 

good operating condition by providing inspection, detection 

and correction of failures, either before they occur or before they 

develop major defects. 

Reimbursable Accounts: The AOC has reimbursable budget 

authority provided by statute to establish certain reimbursable 

agreements. See Appendix F: Reimbursable Accounts Summary. 

Short Ton: A unit of weight equal to 2,000 pounds. 

State of the Union Address: The State of the Union address is 

derived from the U.S. Constitution, which states: “He (the president) 

shall from time to time give to the Congress information of the 

State of the Union.” The AOC works behind the scenes to ensure 

that everything is impeccable for this important event, including 

readying the House Chamber where the address occurs. 

Statue of Freedom: The bronze Statue of Freedom is the crowning 

feature of the U.S. Capitol Dome. The statue’s plaster model is on 

display in the U.S. Capitol Visitor Center’s Emancipation Hall. 

Sustainable SITES Initiative® (SITES®): A standards and 

certification system for sustainable landscape development and 

management created through a partnership of the American Society 

of Landscape Architects, the Lady Bird Johnson Wildflower Center at 

The University of Texas at Austin and the U.S. Botanic Garden. 

Union Square: The 13-acre plaza to the west of the U.S. Capitol 

Building containing the Ulysses S. Grant Memorial and the Capitol 

Reflecting Pool. In 2011, the property was transferred from the 

National Park Service to the AOC. 

U.S. Capitol Dome: The U.S. Capitol Dome, situated atop the U.S. 

Capitol Building, was designed by the fourth Architect of the Capitol, 

Thomas U. Walter. Construction of the 8.9-million-pound cast-iron 

Dome began in 1855 and was finished in 1866. 

U.S. Capitol Grounds: The U.S. Capitol Grounds are comprised 

of the approximately 286 acres of grounds that provide a parklike setting for the U.S. Capitol. The grounds were designed by 

noted American landscape architect Frederick Law Olmsted and 

designated an accredited arboretum in 2017. 

U.S. Capitol Rotunda: The large, domed, circular room located in 

the center of the U.S. Capitol Building. The Rotunda is visited by 

thousands of people daily and is also used for ceremonial events. 

U.S. Capitol Visitor Center: The U.S. Capitol Visitor Center, the 

newest addition to the U.S. Capitol Building, is located underground 

on the east side of the U.S. Capitol. Since opening in December 2008, 

more than 24 million visitors have entered the U.S. Capitol through 

the U.S. Capitol Visitor Center.

Vision 2100 Master and Strategic Plans: An institutional vision 

that will set the broad, foundational goals for the development of 

the Capitol campus over the next century. Once complete, the Vision 

2100 will serve as the framework for all the AOC’s long-term and 

short-term planning. 

Frederick Law Olmsted
182

A

ACM Asbestos-Containing Materials

ADA Americans with Disabilities Act

AEP Affirmative Employment Program

AFSCME American Federation of State, County and Municipal 

Employees

AGA Association of Government Accountants

AIA American Institute of Architects

AICPA American Institute of Certified Public Accountants

AIF Maintain Awe-Inspiring Facilities

AOC Architect of the Capitol

B

BBTU Billion British Thermal Unit

BFEM Treasury’s Budget Formulation and Execution Manager

C

CAO Chief Administrative Officer

CAP Cross-Agency Priority Goals

CARES Act Coronavirus Aid, Relief, and Economic Security Act

CARS Central Accounting Reporting System

CBA Collective Bargaining Agreement

CCM Certified Construction Manager

CCMP Capitol Complex Master Plan

CCO Capital Construction and Operations

CCRC Central Contractor Registration Connector

CDC Centers for Disease Control and Prevention

CEAR Certificate of Excellence in Accountability Reporting

CERCLA Comprehensive Environmental Response, Compensation 

and Liability Act

CFM Certified Facilities Manager

CFO Chief Financial Officer

CFO Act Chief Financial Officers Act

CGFM Certified Government Financial Manager

CHW Chilled Water

CIR Collections Information Repository

COTS Commercial-Off-the-Shelf

COVID-19 Coronavirus Disease 2019

CPA Certified Public Accountant

CPP Certified Professional Photographer

CSRS Civil Service Retirement System

CVC U.S. Capitol Visitor Center

CWIP Construction Work-in-Progress

D

DATA Act Digital Accountability and Transparency Act

DI/DR Diversity, Inclusion and Dispute Resolution

DM&R Deferred Maintenance and Repairs

DOE U.S. Department of Energy

DOEE District of Columbia Department of Energy and 

Environment

DOL U.S. Department of Labor

E

EAM Enterprise Asset Management 

EAP Employee Assistance Program

EARP Emergency Action Response Plan

EEO Equal Employment Opportunity

EISA2007 Energy Independence and Security Act of 2007

EPAct Energy Policy Act of 2005

ERM Enterprise Risk Management

ES Provide Extraordinary Services

ESPC Energy Savings Performance Contract

EUI Energy Usage Intensity

ExCEL Exchange of Critical Expertise and Learning

F

FAIA Fellow, American Institute of Architects

FASAB Federal Accounting Standards Advisory Board

FBWT Fund Balance with Treasury

FCA Facility Condition Assessment

FCI Facility Condition Index

APPENDIX H

Abbreviations and Acronyms 
APPENDICES 183

FECA Federal Employees Compensation Act

FEGLI Federal Employees Group Life Insurance

FEHB Federal Employees Health Benefits

FERS Federal Employees Retirement System

FFMIA Federal Financial Management Improvement Act

FISMA Federal Information Security Management Act

FMFIA Federal Managers’ Financial Integrity Act of 1982

FMLA Family and Medical Leave Act

FY Fiscal Year

G

GAAP Generally Accepted Accounting Principles

GAO U.S. Government Accountability Office

GPO U.S. Government Publishing Office

GPRA Government Performance and Results Act

GPRAMA GPRA Modernization Act

GSA U.S. General Services Administration

GSF Gross Square Feet

GTAS Governmentwide Treasury Account Symbol Adjusted 

Trial Balance System

H

HCMD Human Capital Management Division

HR Act Architect of the Capitol Human Resources Act

HUBZone Historically Underutilized Business Zones

I

I&I Injuries and Illnesses

IBEW International Brotherhood of Electrical Workers

ICS Inventory Control System

IEW Foster an Innovative and Empowered Workforce

IPAC Intragovernmental Payment and Collection

IPP Invoice Processing Platform

IRMD Integrated Risk Management Division

ISMS Integrated Safety Management System

ISO International Organization for Standardization

ITD Information Technology Division

J

JCCIC Joint Congressional Committee on Inaugural 

Ceremonies

K

KBTU Thousand British Thermal Units

KCF Thousand Cubic Feet

KGal Kilogallons

kWh Kilowatt Hours

KPI Key Performance Indicator

L

LBFMS Legislative Branch Financial Management System

LEED AP Leadership in Energy and Environmental Design 

Accredited Professional

Library Library of Congress

LICP Line Item Construction Program

M

MB Megabytes

MD&A Management’s Discussion and Analysis

MMBTU Metric Million British Thermal Units

MWh Megawatt Hours
184 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

N

NFC National Financial Center

NIST National Institute of Standards and Technology

O

OAP Office of Attending Physician

OCAO Office of the Chief Administrative Officer

OCE Office of the Chief Engineer

OCFO Office of the Chief Financial Officer

OCO Office of the Chief of Operations

OCSO Office of the Chief Security Officer 

OCWR Office of Congressional Workplace Rights

ODS Operational Data Store

OGC Office of General Counsel 

OIG Office of Inspector General

OMB Office of Management and Budget

OPM U.S. Office of Personnel Management

OSHA Occupational Safety and Health Administration

OTOM Operate as One Team, Dedicated to One Mission

P

P3 Public-Private Partnership

PAM Payment Automation Manager 

PAR Performance and Accountability Report

PCES Performance, Communication and Evaluation System

PE Professional Engineer

PIAA Payment Integrity Information Act of 2019

PIC Project Information Center

P.L. Public Law

PMIS Project Management Information System

PP&E Property, Plant and Equipment

PTIB Photography and Technical Imaging Branch 

PY Prior Year

Q

QFR Quarterly Financial Review

R

RACI Responsible, Accountable, Consulted and Informed 

RISE Respect, Integrity, Safety, Empower

RMAB Records, Management and Archives Branch

RPA Robotic Process Automation

RSI Required Supplementary Information

S

SAM System for Award Management

SBR Combined Statement of Budgetary Resources

SCC Office of Safety and Code Compliance 

SCNP Statement of Changes in Net Position

SFFAS Statement of Federal Financial Accounting Standards

SITES® Sustainable SITES Initiative

SNC Statement of Net Cost

SOC 1 System and Organization Controls

SSAA Senate Sergeant At Arms

T

TSP Thrift Saving Plan

Treasury U.S. Department of Treasury

U

UARP Urban Agriculture Resilience Program 

UCFE Unemployment Compensation for Federal Employees

UESC Utility Energy Service Contract

ULO Unliquidated Obligation

USBG U.S. Botanic Garden

U.S.C. United States Code

USCP U.S. Capitol Police

USSGL U.S. Standard General Ledger
APPENDICES 185

A view from a north-facing porch of the Cannon House Office Building, with the U.S. Capitol’s East Front visible in the distance.
186 ARCHITECT of the CAPITOL | 2021 Performance and Accountability Report

APPENDIX I

Acknowledgements 

This Performance and Accountability Report was produced with the energies and talents of the AOC staff. To these dedicated individuals, we 

offer our sincerest thanks. In particular, we recognize the following individuals for their contributions:

J. Brett Blanton, 

Architect of the Capitol

Antonio Edmonds,

Acting Chief of Operations

Peter Mueller, PE, PMP

Chief Engineer

Jonathan Kraft, 

Chief Financial Officer 

William R. O’Donnell, 

Chief Administrative Officer

Valerie Hasberry, 

Chief of Security

Joseph Abriatis

Peggy Almanza

Mona Amatie, CGFM

Annie Anderson 

Nik Apostolides

Laila Atayee

Peter Bahm, PE, CFM

Teresa Bailey

Jason Baltimore 

Natalie Barnes, CGFM

Lawrence Barr

Raynell Bennett

Thomas Bergeron

Jennifer Blancato 

Jessica Blanche

Susanne Bledsoe

Dorothy Blum 

Joe Bocianowski, CCM

Franklin Bradley

Chere Brown-Rexroat

Liz Buday

Casey Cahill

Christine Camera

Joseph Campbell

Tom Casey

Michael Cason

Saharah Moon Chapotin, Ph.D.

Douglas Chiles

Michelle Chin

Trista Claxon

Michele Cohen, Ph.D. 

Laura Condeluci

Marvin Cortez

Erin Courtney

William Curley

Sarah Davis

Migdali Delgado

Andrew Dentamaro

Barron Dill

Devin Dotson

James Drummond

Michael Dunn

Patrick Easton

Thomas Fields

Mark Flemming

Kristen Frederick

Mark Galvan

Sean Greene

Douglas Helmann

Bonnie Holod, AIA, LEED AP

Charles Iliff

Rachel Jenkins 

Stephanie Jones, PE

James Kaufmann

John Kelly

Justin Kieffer

Paul Kirkpatrick, AIA, LEED AP

Brian Kohler

Cesar Korzeniewicz

Christine Leonard 

Michael Lewis

Doug Lipscomb

Latania Maise

Leslie Matthaei

Jason McIntyre

Curtis McNeil

Michaela McNichol

Suzanne Mead

Brandi Mehok 

Jonathan Migas

Chris Miles

Kristy Miller

Erin Nelson

Kirk Nelson 

Cristin O’Brien

Charles O’Hanlon, PE, CCM

James O’Keefe 

Mary Oehrlein

Joe Okes 

Fay Ott

Mary Jean Pajak, PE 

Tina Pearson

Susan Pell, Ph.D. 

Joseph Peter, CPA, CGFM 

Fatimah Pierce, Ph.D.

Beth Plemmons 

Christopher Potter

Stefanie Pryor 

Mark Reed, PE, CFM

Randy Robinson

Dewitt Roseborough III 

James Rosenthal

Hajira Shariff

Kathy Sherrill, CPA

Michael Shirven, PE

Mark Siegelman

Victoria Singer

Nancy L. Skinkle, AIA, LEED AP 

Ganella Smith

Diane Soriano

Eric Swanson

Deatra Trinidad 

Christopher Vetick

Kyle Wallick

David Wilder

Patricia Williams

Elizabeth Yoder, CPP

We offer special thanks to the AOC’s Photography and Technical Imaging Branch for providing the photographs contained in this report. 

The FY 2021 Performance and Accountability Report was prepared with the assistance of OmniStudio, Inc. and ILION Management Strategies 

LLC. In addition, Guidehouse assisted with the preparation of the AOC’s financial statements. Copy edited by Joseph Peter.

This report is issued with data as of June 16, 2022.
The AOC received thousands of letters and emails from grateful citizens after the events of January 6, 2021, at the U.S. Capitol, thanking the AOC employees for their service.

We Would Like to Hear From You

Thank you for your interest in the Architect of the Capitol and 

its Fiscal Year 2021 Performance and Accountability Report. We 

welcome your comments on how we can make this report more 

informative for our readers. Please send your comments to:

Email: aocpar@aoc.gov

Phone: 202.226.2552

Mail: Office of the Chief Financial Officer — PAR 

Architect of the Capitol 

Ford House Office Building, Room H2-205 

Second & D Street, SW 

Washington, DC 20515

For Copies of This Report

Electronic copies of this report and its companion highlights report 

are available on the AOC website: www.aoc.gov/par. For desktop 

users, the AOC publishes Section 508-compliant versions of this 

report and the corresponding highlights report for individuals with 

disabilities. A reader-friendly, interactive digital version of this report 

is also available for desktop users. 

A mobile app, or e-reader, version of this report is also available for 

both Apple and Android tablets. The mobile app version includes 

the current print edition of the Performance and Accountability 

Report, plus additional features such as bonus photos and videos, 

landscape or portrait views, zoom view for individual sections, 

bookmarking and other interactive functions. To download the 

report to your tablet device, please visit the AppStore from your iPad 

or Google Play from your Android tablet and search for “Architect of 

the Capitol.”
U.S. Capitol | Washington, DC 20515

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